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游游 · 2025年02月10日

这是同事不是雇主

NO.PZ2023021602000004

问题如下:

James Woods, CFA, is a portfolio manager at ABC Securities. Woods has reasonable grounds to believe his colleague, Sandra Clarke, a CFA Level II candidate, is engaged in unethical trading activities that may also be in violation of local securities laws. Woods is not Clarke's supervisor, and her activities do not impact Woods or any of the portfolios for which he is responsible. Based on the Code and Standards, the recommended course of action is for Woods to:

选项:

A.report Sandra Clarke to ABC's trading supervisor or compliance department.

B.not take any action because he is not directly involved.

C.report Sandra Clarke to the appropriate governmental or regulatory organization.

解释:

Under Standard 1(A) in situations where a member or candidate is aware of employer engagement in unethical or illegal activity, it is recommended that they attempt to stop the behavior by bringing it to the attention of a supervisor or the firm's compliance department.

是同事不是雇主也需要向上报告吗

1 个答案

小刘_品职助教 · 2025年02月10日

嗨,努力学习的PZer你好:


是的。CFA协会准则要求会员有责任维护行业的道德和法律规范,当发现同事有不道德或可能违法的行为的事项时,即使并不是由于雇主的原因所产生的,也应按照CFA协会准则采取行动,所以,当Woods发现Clarke不当行为时,虽然Clarke不是他的雇主,但为了阻止这种行为,也应该向上报告,可以将情况告知公司的交易主管或合规部门。

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虽然现在很辛苦,但努力过的感觉真的很好,加油!

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