开发者:上海品职教育科技有限公司 隐私政策详情

应用版本:4.2.11(IOS)|3.2.5(安卓)APP下载

Pina · 2021年08月10日

law

NO.PZ2016032802000001

问题如下:

Aden Roman, CFA, an investment analyst who works for a firm based in the United States. But the firm allows Aden to work at his own country which is a small city called Suvenia in Europe. Suvenia's law allows insider trading for the people who works in their country, which is prohibited in the United States. Aden thinks that because he works in his own country, he should follow Suvenia's law. Does Aden violate the Code and Standards?

选项:

A.

No, because he follows Suvenia's law which is appropriate.

B.

No, because the firm allows him to work in Suvenia and to obey Suvenia's law.

C.

Yes.

解释:

C is correct.

According to Standard I(A) Knowledge of the Law, Aden should comply with United States' law which is stricter than Suvenia's law.

老师好,知道要遵守更严格的law, 但是否如果题中主人公不是CFA or CFA candidate 是否这里就可以用local law了?谢谢。

1 个答案
已采纳答案

王暄_品职助教 · 2021年08月10日

理论上,如果不是CFA Candidate可以选择local law,因为CFA准则对这些非CFA Candidata压根不适用

但是,我们做的是CFA考试,但凡出现在题目中的,尤其是道德题目,都默认要遵守CFA准则的