Chartered Financial Analyst Level 1
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Which of the following is a recommended procedure for compliance with the Standard relating to independence and objectivity? Members should encourage their firms to:
Which of the following is a recommended procedure for compliance with the Standard relating to independence and objectivity? Members should encourage their firms to:
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A
Implement formal policies requiring approval for employee participation in equity-related IPOs, with prompt disclosure of investment actions taken post-offering.
B
Remove a corporate client from the research universe and place it on a restricted list if the firm is unwilling to disseminate adverse opinions about the company.
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