Ethical and Professional Standards Q134

0. Aidan Ackermann, CFA, is recently hired as a banking analyst at Becker Investments. One of the mandates given by his supervisor Abigail Wohlers, is to improve the online presence of Becker among social media platforms. Ackermann posts regularly on the company‟s Facebook page and Twitter on the various services offered by Becker as well as snippets of the companies on his research list. He shares his buy/sell/hold recommendation in a brief manner on Twitter before the report is released to all clients. Wohlers is least likely to have violated the Standard relating to?

Answer
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Option : C
Explanation : By not educating Ackermann of the compliance procedures for social media, and not supervising what was being posted online, Wohlers has violated Standard IV(C) Responsibilities of Supervisors. Ackermann also violated Standard III(B) Fair Dealing.

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