hard · CFA Level I Ethical and Professional Standards
A supervisor at Helion Rail Capital discovers that a subordinate has been sharing confidential client information with a local journalist. The supervisor warns the subordinate but does not restrict her access to the database or report the incident to compliance.
The supervisor has most likely violated:
- Standard IV(C) Responsibilities of Supervisors.
- Standard III(E) Preservation of Confidentiality.
- Standard I(D) Misconduct.
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