This is 14.2 of Schweser Vol 2, exam 3 pm. You are the portfolio manager of firm. Your have a portfolio holding stock A. Other staff of your firm (not yourself) are holding stock A in their personal accounts. What should be done? A. Barring employees from trading stock A B. Written disclosures to client regarding Stock A C. Requiring portfolio managers to refer new clients to a different account manager if their portfolios contains securities for which the account manager is also a beneficiary owner D. nothing
D? I don’t see a need for portfolio managers to worry about other employees holding the same stock.