NO.PZ2024022002000152
问题如下:
Min Joon, a CFA charterholder in the client services unit of an investment firm, engaged in short-selling in his own account, expecting market decline. These actions didn’t negatively impact his firm's clientele. However, a sharp market upturn led to his inability to cover short sales, culminating in personal bankruptcy. Did Joon breach any professional standards?
选项:
A.No breach occurred.
B.Breach of the Standard regarding misconduct.
C.Breach of the Standard concerning loyalty, prudence, and care.
解释:
Option A is correct. Per Standard I(D) on Misconduct, professionals are obligated to avoid dishonest or fraudulent conduct that tarnishes their professional integrity. Joon's personal financial distress, culminating in bankruptcy, does not reflect professional dishonesty or deceit, thus not constituting a breach of ethical standards.客户如果知道这个人自己的投资都投不好 是不是也会觉得这个是misconduct