Chartered Financial Analyst Level 1
Get started today
Ultimate access to all questions.
Comments
Loading comments...
Ultimate access to all questions.
Which of the following is a recommended procedure for compliance with the Standard relating to priority of transactions? Investment personnel should:
A
Review all planned personal trades for potential conflicts before executing the trades.
B
Instruct their brokers to provide their firms with duplicate confirmations of all personal securities transactions.
C
Disclose holdings in which they have a beneficial interest to their firm upon employment commencement and annually thereafter.