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Coco · 2024年10月26日

什么情况是只需要回避不用举报的??

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

1 个答案

王暄_品职助教 · 2024年10月27日

如果某人怀疑他人有不当行为,但没有确凿的证据来支持这一指控,那么直接举报可能会带来不必要的麻烦和冲突。在这种情况下,回避与该人的直接合作可能是一个更为谨慎的做法,同时保持警惕并继续观察情况。


回到本题题,Emily Tran在发现Samir Patel未维持其CFA会员身份却声称自己持有CFA证书的情况下,她不仅应该回避与Patel的合作(以避免被卷入可能的误导性陈述中),还应该向公司的合规部门报告Patel的行为。这是因为Patel的行为涉及到了对投资者可能的误导,这是一个严重的问题,需要得到妥善的处理。因此,在这种情况下,仅仅回避是不够的,还需要采取积极的举报措施。

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