Question #35

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: Q35-36 First in Group
Shared Context
- Hartsburg's efforts to help Voltaire pass the CFA exam: 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.
Question
With respect to the allegation that Voltaire is front-running research recommendations, Hartsburg's first priority, under CFA Institute Standard IV(
Answer Choices:
A. promptly initiate an investigation
B. freeze Voltaire’s trading account and begin documenting her conduct as a precursor to possible termination
C. report the situation to his supervisor
No explanation available for this question.
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