A member or candidate who has supervisory responsibility:
A. Should place particular emphasis on enforcing investment-related compliance policies.
B. Is responsible for instructing those to whom he has delegated authority about methods to detect and prevent violations of the law and the Code and Standards.
C. Has complied with the Standards if she reports employee violations to upper management and provides a written warning to the employee to cease such activities.
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Sally Albright, CFA, works full time for Frank & Company, an investment management firm, as a fixed income security analyst. Albright has been asked by a business contact at KDG Enterprises to acc
Accept the work as long as she obtains consent to all the terms of the engagement from Frank & Company.
B. Not accept the work as it violates the Code and Standards by creating a conflict of interest.
C. Accept the work as long as she obtains written consent from KDG and does it on her own time.
Neiman Investment Co. receives brokerage business from Pick Asset Management in exchange for referring prospective clients to Pick. Pick advises clients--in writing, at the time the relationship is es
A. Complied with the Code and Standards.
B. Violated the Code and Standards by failing to preserve the confidentiality of the agreement with Neiman.
C. Violated the Code and Standards by participating in an agreement that creates a conflict of interest.
Josef Karloff, CFA, acts as liaison between Pinnacle Financial （an investment management firm） and Summit Inc．（an investment banking boutique specializing in penny stocks）．When Summit underwrites an I
A. Fair dealing
B. Nonpublic information
C. misconduct
Will Hunter, CFA, is a portfolio manager at NV Asset Managers. An investment banker asks Hunter to purchase shares in a new IPO to support the price long enough for insiders to liquidate their holding
A. Not violate the Code and Standards
B. Violate the Standard concerning market manipulation
C. Violate the Standard concerning priority of transactions
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