Question: Craig Slist, a Level 1 CFA candidate, is a trader on the fued income deak at a large financial instivition. He fos observed that ore
Craig Slist, a Level CFA candidate, is a trader on the fued income deak at a large financial instivition. He fos observed that ore of the salesmen on the desk has been reallocating some trades at the sentor manugement is aware of it If Sist miles a personal record of the activity, takes it horre for lin percoul files and subnequefrewals it fo regulatory authorities, he would
be in wountion of the Standarish for breaching his deff of lowalty to this emptoyer
fot be in violation of any Standards
Betty White, a CFA institute member, was about to issue a neutral report on HLC Corporation, a hightech flors, when she talked to Donald Glover, her former manager and mentor, who is now with another irrvestment frrm Glover is very bullish on HLC and tels White that "everyone knows HLC is going to experience a major stock price increase over the next year" White knows Cliover has been an exceptionally insightful analyst in the hightech sector. According to the CFA institute Standards of Practice Hundbook, is it acceptable for White to change her recommendation to a "Buy" based on the comments of Glover?
Yes, because hused on experience, Glovers views are generally correct.
Wha, because Clover's commenta couldle consiservingse thaturion
No because she does not hive a reasonable basis for recommending this stock.
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