财会经济>CFA特许金融分析师 > CFA考试(Level Ⅰ)
CFA考试(Level Ⅰ) - 相关题库
单选题 编号:2690668
1. Marysa Chen, CFA, works for JanMc Investment Management. All personal investments by JanMc employees must receive prior clearance in accordance with JanMc's compliance procedures. To obtain prior clearance, JanMc employees must provide a written request identifying the security, the quantity of the security to be purchased, and the name of the broker through which the transaction will be made. As indicated below, Marysa received prior clearance.

Two days after she received prior clearance, the price of Stock B had decreased 50. Marysa decided to purchase 250 shares of Stock B only. In her decision to purchase 250 shares of Stock B only, did Marysa violate any CFA Institute Standards of Professional Conduct?
  • A.Yes,relating to independence and objectivity.
  • B.Yes,relating to her fiduciary duty to her employer.
  • C.Yes,relating to her employer's compliance procedures

登录后查看答案及解析

选择购买的题库