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[教材、Notes、资料] [求助]CFA Schweser Notes Level 1 Ethics 中的问题..

在L1中 study session 1 的 self test的Q3 关于Standard I (A)knowledge of the law中

什么时候 member or candidates 是inform / report this situation to his supervisor and seek an independent legal opinion

什么时候 member of candidates 是自己可以决定dissociate from the illegal activity.

 

原题是说Jones发现他的client made several contributions to foreign politicians that Jones suspencts were illegal.  经过证实确实是illegal的。并且在bord meeting上Jones urges the board to disclose the contributions.  但是board拒绝这个disclosure.  问Jones 最合适的做法是

 

A 肯定是错的

B resign from the board and seek legal counsel as to her legal disclosure requirement.

C infrom her supervisor of her discovery and cease attending meetings until the matter is revolved.

 

答案是B~ C错在哪里啊? 我看了之前的application 既有自己直接leaving clients的也有Inform supervisor的。

 

题目问最合适的做法,题干说的是board meeting后,当然选B。 一般情况下发现illegal会先跟supervisor说,然后才会在board meeting上提出。

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board meeting已经是最高级别做的决定了,上司顶啥用呢?大领导都确定了,自然只好辞职了。

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