Referring CFA Standards of Professional Conduct I(A): Knowledge of the Law, which of the following is NOT correct: Select one: O a. Know their firm's policies and procedures for accessing compliance guidance O b. remain vigilant in maintaining general knowledge of the legal requirements governing their investment activities O c. not rely on outside compliance consultants to assist them in complying with securities laws that are applicable to their professional activities O d. must dissociate from any violation of laws and regulations Oe. All are incorrect
Referring CFA Standards of Professional Conduct I(A): Knowledge of the Law, which of the following is NOT correct: Select one: O a. Know their firm's policies and procedures for accessing compliance guidance O b. remain vigilant in maintaining general knowledge of the legal requirements governing their investment activities O c. not rely on outside compliance consultants to assist them in complying with securities laws that are applicable to their professional activities O d. must dissociate from any violation of laws and regulations Oe. All are incorrect
Essentials Of Investments
11th Edition
ISBN:9781260013924
Author:Bodie, Zvi, Kane, Alex, MARCUS, Alan J.
Publisher:Bodie, Zvi, Kane, Alex, MARCUS, Alan J.
Chapter1: Investments: Background And Issues
Section: Chapter Questions
Problem 1PS
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Transcribed Image Text:Referring CFA Standards of Professional Conduct I(A): Knowledge of
the Law, which of the following is NOT correct:
Select one:
O a. Know their firm's policies and procedures for accessing
compliance guidance
O b. remain vigilant in maintaining general knowledge of the legal
requirements governing their investment activities
O c. not rely on outside compliance consultants to assist them in
complying with securities laws that are applicable to their
professional activities
O d. must dissociate from any violation of laws and regulations
Oe. All are incorrect
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