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CFA考试(Level Ⅰ) - 相关题库
单选题 编号:2692049
1. Alpha Advisors Inc. is an investment management firm with a client base that ranges from individuals to large foundations. Which of the following firm policies is least appropriate if Alpha adopts the Code and Standards? Alpha:
  • A.Monitors the personal trading activity of firm personnel and requires them to pre-clear personal trades.
  • B.Regularly calls larger accounts first after changes in investment recommendations have been faxed to all clients.
  • C.Excludes client accounts of family members of employees from participating in IPOs.

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