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CFA Institute CFA-Level-I Exam - Topic 2 Question 30 Discussion

Which of the following statements clearly conflicts with the recommended procedures for compliance presented in AIMR's Standards of Practice Handbook?
C) For confidentiality reasons, personal transactions should not be compared with those of clients or the employer unless requested by regulatory organizations.
A) Investment recommendations may be changed by an analyst without prior approval of a supervisory analyst.
B) Prior approval must be obtained for the personal investment transactions of all employees.
D) Personal transactions should be defined as including transactions in securities owned by the employee and member of his or her immediate family and transactions involving securities in which the employee has beneficial interest.

CFA Institute CFA-Level-I Exam - Topic 2 Question 30 Discussion

Actual exam question for CFA Institute's CFA-Level-I exam
Question #: 30
Topic #: 2
[All CFA-Level-I Questions]

Which of the following statements clearly conflicts with the recommended procedures for compliance presented in AIMR's Standards of Practice Handbook?

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Suggested Answer: C
by Beckie at May 03, 2026, 06:18 PM

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Rory
2 days ago
Totally agree, that’s just asking for trouble!
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Miesha
7 days ago
A) is definitely a conflict. No way analysts should change recommendations without approval.
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Curtis
12 days ago
I feel like option D is just defining personal transactions, so it shouldn't conflict with AIMR's standards. I think it's between A and C.
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Tu
2 months ago
I'm a bit confused about option C; it seems like it could be a gray area regarding confidentiality and compliance.
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Evette
2 months ago
I remember a practice question about personal transactions needing prior approval, which makes me lean towards option A as the answer.
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Nakita
2 months ago
I think option A might be the one that conflicts with AIMR's standards, but I'm not entirely sure if there are exceptions for certain situations.
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