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绿水精灵 · 2025年02月07日

如果最后的结果是帮non-profit赚钱了,那违反ethics吗?

NO.PZ2024022002000253

问题如下:

In her role at Greensky Investment, Rita Melmo engages in undisclosed weekend work for a non-profit, where she arranges for a truck purchase, resulting in the non-profit overpaying by $500, a sum she benefits from through equivalent retail vouchers. Which CFA Standard violation is most applicable?

选项:

A.Failing to inform GI of her non-profit role. B.Arranging a deal that financially disadvantages the charity. C.Both the nondisclosure of her non-profit work and the arrangement of a financially disadvantageous deal.

解释:

Option B is correct. According to CFA Standard I (D) concerning Misconduct, engaging in actions that are deceitful or that adversely impact one’s professional standing is prohibited. By causing the charity to overpay for the truck, Melmo's actions are fraudulent and detract from her integrity as a financial professional.

如果最后的结果是帮non-profit赚钱了,那违反ethics吗?

1 个答案

王暄_品职助教 · 2025年02月08日

如果Rita Melmo的行为最终结果是帮non-profit赚钱了,那么是否违反道德取决于她的行为过程。

如果她的行为过程透明、公正,没有利用自己的职位或信息优势来获取个人利益,且没有隐瞒或欺骗,那么她就没有违反;然而,如果她在过程中存在隐瞒、欺骗或利用职位谋取私利的行为,即使最终结果对non-profit有利,也可能构成违反。

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