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Match the breach to the CFA Institute Standard that would govern it . One ( 1 ) match only for each Standard. _ _ _
Match the breach to the CFA Institute Standard that would govern it One match only for each Standard.
At a family gathering during Thanksgiving, a member learns that a company is about to be acquired and, based on this insider information, takes a position in that company as soon as the market opens on Tuesday morning.
During a promotional event, a member boasts that Portfolio Managers with a CFA designation generate better returns than those without such a designation.
During an interview, a Candidate in the CFA Program mentions that they are a CFA Level
Performance has been dismal over the last few quarters, and a member Portfolio Manager decides to only present to clients returns from those time frames that make their team look good.
A member Analyst works for a large asset management firm and learns that the Portfolio Manager is about to initiate a position in a company which will most probably boost the stock price. They decide to buy ahead of the firm to benefit from this gain without notifying their compliance department.
A member Analyst leaves an asset management firm to go work for another, bringing all their valuation models and research reports.
Every time a member Portfolio Manager creates a new client report, they use the template from another review, not making sure to save previous client reviews. Furthermore, they regularly forget to take notes when meeting their clients
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