QUESTIONS 1 THROUGH 18 RELATE TO ETHICAL AND PROFESSIONAL STANDARDS.

6. Teresa Staal, CFA is an investment officer in a bank trust department. She manages

money for celebrities and public figures, including an influential local politician. She

receives a request from the politician’s political party headquarters to disclose his stock

holdings. The request indicates local law requires the disclosure. What steps should Staal

most likely take to ensure she does not violate any CFA Institute Standards of

Professional Conduct?

A. Provide the information and inform her client.

B. Send the requested documents and inform her supervisor.

C. Check with her firm's compliance department to determine her legal responsibilities.

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