Question #34

Reading: Reading 42.6 Standards of Professional Conduct Guidance for Standards VI

PDF File: Reading 42.6 Standards of Professional Conduct Guidance for Standards VI.pdf

Page: 17

Status: Unattempted

Part of Context Group: Q34-36 First in Group
Shared Context
- In order to conform to the Code and Standards with relation to Northern Lights stock, Hartsburg MUST: A) ask the company to assign another analyst to cover the stock in an effort to avoid the conflict of interest. B) directly disclose his holdings or have his company issue a generic disclaimer about analyst stock ownership. C) sell the shares before issuing the report.
Question
Hartsburg's efforts to help Voltaire pass the CFA exam:
Answer Choices:
A. conform to all relevant standards
B. violate both Standard I(D): Misconduct and Standard VII(A): Conduct as Members and Candidates in the CFA Program
C. conform to Standard I(D): Misconduct, but violate Standard VII(A): Conduct as Members and Candidates in the CFA Program
No explanation available for this question.
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