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moon · 2022年08月24日

为啥选C,不选B

* 问题详情,请 查看题干

NO.PZ201604030300004604

问题如下:

4. When placing the morning phone call on speakerphone, does Smith violate any CFA Institute Standards?

选项:

A.

No.

B.

Yes, his duty to Omega.

C.

Yes, his duty to clients and to Omega.

解释:

C is correct.

Smith violated his duties to both clients and Omega by not protecting confidential information. By providing Garcia access to confidential information such as changes in recommendations and information regarding block trades, Smith provided Garcia the opportunity to front-run, which could cause harm to both Omega and its clients. Thus, Smith’s actions violate his duty of loyalty, prudence, and care to his clients and his duty of loyalty to his employer, Standards III(A) and IV(A), respectively.

为啥选C,不选B

1 个答案

王暄_品职助教 · 2022年08月25日

因为Smith的这个操作会导致他的G同学第一获得公司机密信息,所以第一违反对雇主的忠诚;第二G同学听到了信息之后就操作了,所以相当于先于Smith他们的客户进行操作,所以Smith也等于是违反了对客户的忠诚