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Question of the Week: Level 2 - Ethics
Preston Faider supervises the compliance department at Global Investment Advisors (GIA). At the beginning of the year, there were changes in several laws that apply to performance presentation and comingling of investment funds. Faider has prepared a brief summary of the changes, highlighting how those changes will affect procedures at GIA and has distributed the summary to all affected employees. Faider has most likely:
Question of the Week: Level 2 - Ethics 6 votes
violated Standard I(A) Knowledge of the Law.
violated Standard IV(C) Responsibilities of Supervisors.
not violated CFA Institute Standards of Professional Conduct.