【每日一练】CFA 一级（2015年）

Question：

Mariam Musa, CFA, head of compliance at Dunfield Brokers, questions her colleague Omar Kassim, a CFA candidate and a research analyst, about his purchase of shares in a company for his own account immediately before he publishes a "buy" recommendation. He defends his actions by stating he has done nothing wrong because Dunfield does not have any personal trading policies in place. 
The CFA Institute Standards of Professional Conduct were most likely violated by: 
A. only Kassim. 
B. both Musa and Kassim. 
C. only Musa. 

Answer = B 
Both Musa and Kassim violated the Standards of Professional Conduct. Musa violated Standard IV(C)–Responsibilities of Supervisors by not ensuring policies were in place to prevent violations of the Standards of Professional Conduct (in this case, Standard VI(B)–Priority of Transactions) by someone subject to her supervision. As the head of compliance, Musa supervised Kassim and must meet her supervisory responsibilities outlined in the Standards of Professional Conduct. Kassim violated Standard VI(B)–Priority of Transactions because he did not give sufficient priority to Dunfield's clients before trading on his recommendation.

CFA Level I
"Guidance for Standards I–VII"
Standard IV(C)–Responsibilities of Supervisors, Standard VI(B)–Priority of Transactions

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CFA一级权益复习策略

这可能是目前zui快通过CFA、FRM双证的捷径了