开发者:上海品职教育科技有限公司 隐私政策详情

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简ying · 2021年08月31日

其实也是违背了misconduct的吧?

NO.PZ2018062009000011

问题如下:

Alex, an analyst of brokerage firm. When making a new recommendation, he called the institutional clients in the morning and called the individual clients in the afternoon. Which of the following statements is most likely correct?

选项:

A.

He did not violate the standard.

B.

He violated the Standard on Misconduct.

C.

He violated the Standard on Fair Dealing.

解释:

C is correct.

According to Standard III(B) Fair Dealing, Alex should not discriminate against any clients. He should inform all his clients at the same time.

根据准则III(B),Alex不可以歧视任何客户,应当同时通知他的所有客户。

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1 个答案

王暄_品职助教 · 2021年09月01日

这里并不涉及misconduct

与本职工作相关的行为上的错误,比如工作期间酗酒;再有就是不诚信的表现,都算Misconduct。

这里仅仅不公平对待客户,并没有什么行为上的错误,用Misconduct不合适,直接说他没有fair dealing最合适。