Chartered Financial Analyst Level 1
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According to the Standard VI(A) regarding disclosure of conflicts, a member is required to:
A
Decline a board position in a company for which the member's firm intends to initiate a research report.
B
Ensure that the firm discloses to clients any rebates received from service fees charged by certain mutual fund classes.
C
Add a company to a restricted list and provide factual information about it if the member's firm holds options on the company's shares.