【每日一练】CFA 一级（2015年）

Question:

Margie Germainne, CFA, is a risk management consultant who has been asked by a small investment bank to recommend policies to prevent bank employees from front running client orders. These clients generally invest in one or more of the bank's large cap equity unit trusts. To ensure compliance with the CFA Institute Standards of Professional Conduct, Germainne should least likelyrecommend which of the following? Employees should be restricted from trading: 
A. equity-related securities. 
B. without prior permission. 
C. during established time periods. 

Answer = A 
Although Standard VI(B)–Priority of Transactions is designed to prevent any potential conflict of interest or the appearance of a conflict of interest with respect to personal transactions, it does not ban employees from trading securities. A ban on all equity-related securities could be excessively restrictive to employees and unnecessary if appropriate personal transaction policies and procedures are in place.

CFA Level I
"Guidance for Standards I–VII"
Standard VI(B)–Priority of Transactions

更多精彩：

这可能是目前zui快通过CFA、FRM双证的捷径了

通过CFA一级需要花费多长时间？