In order to comply with Standard IV (B.4), Priority of Transactions, firms should prepare and distribute to firm personnel a code of ethics and compliance procedures. The code and procedures should do all of the following, EXCEPT:
A. ensure that procedures will be enforced.
B. contain disciplinary procedures.
C. limit the number of access persons.
D. establish reporting and prior-clearance requirements. E. define personal transactions, investment and prohibited transactions. F. maintain a list of clients and their holdings. G. consider special situations. F
In order to comply with Standard IV (B.4), Priority of Transactions, firms should prepare and distribute to firm personn
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In order to comply with Standard IV (B.4), Priority of Transactions, firms should prepare and distribute to firm personn
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