微信扫一扫
实时资讯全掌握
|
Juan Lopez manages accounts for Street Capital. Lopez’s mother is a client of the firm. Lopez does not make trades in his mother’s accounts until all other clients of the firm have been given an opportunity to trade. Lopez has: A. not violated CFA Institute Standards of Professional Conduct because transactions for clients should have priority over personal transactions and transactions for beneficial owners. B. violated CFA Institute Standards of Professional Conduct because he is not allowed to trade in family accounts. C. violated CFA Institute Standards of Professional Conduct because family accounts that are client accounts should be treated like any other firm accounts. |