CFA Level I sample question

CFA Level I Integrated Hard Ethics Scenarios question

Ethical and Professional Standards / Integrated Hard Ethics Scenarios

No-login practice

Integrated Hard Ethics Scenarios sample question

Choose an answer before revealing the explanation, key takeaway, and answer-choice review.

Question 1 of 1Score 0/1

Very Difficult

Ethical and Professional Standards

Integrated Hard Ethics Scenarios

A trading desk head approves a recommendation upgrade at 8:00 a.m. and tells portfolio managers client orders may start at 9:30 a.m. At 8:15 a.m., she notices that one trader bought shares for his spouse's account. The trader says the written personal trading policy mentions only accounts in employees' own names. The desk head's most appropriate response is to:

Report an issue

Question of the Week

Get one CFA Level I question by email

Receive a weekly practice question with answer-choice explanations and a short takeaway.