NO.PZ2024022002000114
问题如下:
Emily Tran, CFA, an analyst at an investment firm, collaborates with Samir Patel, who received his CFA charter 15 years ago. Tran learns that Patel claims to be a CFA charterholder in client meetings, despite not maintaining his membership. Patel regularly states in client interactions that all team members, including himself, hold active CFA charters. For Tran to adhere to the Standards, she should:选项:
A.Merely distance herself from Patel's activities. B.Solely inform the firm's compliance department about Patel's behavior. C.Both distance herself from Patel's activities and inform the compliance department about Patel's actions.解释:
Option C is correct. According to Standard I(A), Knowledge of the Law, professionals must not engage in or facilitate any violations of standards or regulations. By not objecting or reporting in instances where Patel misrepresents his CFA status, Tran would be tacitly assisting in the dissemination of false information. Therefore, she is obligated to both dissociate from Patel's activities and report his conduct to the fund's compliance department to address the issue appropriately.如题