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Frances · 2024年05月20日

Integrity of capital market standard

NO.PZ2024022002000021

问题如下:

Nicholas Bennett, CFA, employed as a trader, faced verbal harassment from a colleague over a trading error. He retaliated by pushing the colleague to the ground. Despite the stock exchange absolving him of any misconduct, how does Bennett's behavior align with the CFA Institute's Code of Ethics or Standards of Professional Conduct?

选项:

A.Bennett’s actions are in accordance with both the Code and Standards.

B.Bennett breached the Standard concerning Professional Misconduct.

C.Bennett's conduct infringed upon both the Professional Misconduct and Integrity of Capital Markets Standards.

解释:

Option B is the accurate choice. The Code of Ethics established by the CFA Institute necessitates members to uphold integrity, competence, diligence, and respect, and to conduct themselves ethically and professionally. The Professional Misconduct Standard mandates that members and candidates should avoid acts that could negatively impact their professional standing, integrity, or competence. Although Bennett's response was in reaction to provocation, it contravened the Professionalism Standard and the broader Code of Ethics, but did not specifically breach the Standard of Integrity of Capital Markets.

这个capital market standard有什么大体的要求能简单说一下吗?一般来讲capital market这种大话题都应该会有为了维持整个行业的名誉水准而不准做的事情吧。暴力推人应该属于毁坏行业名声的做法。

1 个答案
已采纳答案

王暄_品职助教 · 2024年05月20日

Capital Market Standard通常是指与资本市场诚信、公平、透明度和效率相关的行为准则。这些标准旨在保护投资者利益,确保市场的公平性和稳定性,以及促进资本市场的健康发展。

在Nicholas Bennett的案例中,尽管他是在受到言语骚扰后的反击行为,但暴力推人这种行为显然不符合CFA Misconduct的要求,也可能对自身的专业性造成负面影响。因此,他的行为没有违反Capital Market 中的具体条款,但确实违反了Misconduct