Jason Blackwell, CFA, works as an investment manager for Mega Capital, a large multinational brokerage firm. He resides in a country whose applicable law is stricter than the Code and Standards but does business with clients in a country whose applicable law is less strict than the Code and Standards. Blackwell decides to follow the Code and Standards for clients in the less strict country. While Blackwell is still employed at Mega, Lego Associates verbally asks Blackwell to review client portfolios during evenings and weekends for a fee. Blackwell gets written consent from his immediate supervisor at Mega to undertake this independent activity for a one-month trial basis.
Which of the following statements about Blackwell’s actions involving Standard I, Professionalism, and Standard IV(A), Loyalty is most accurate? Blackwell:
| A) |
violated both Standard I and Standard IV(A). | |
| B) |
did not violate either Standard I or Standard IV(A). | |
|
C) |
violated Standard I but did not violate Standard IV(A). | |
Blackwell violated Standard I, Professionalism. Because the applicable laws were stricter than the Code and Standards, he must adhere to the more strict applicable law.
答案是：c, 但是我觉得应该是B， 因为Blackwell decides to follow the Code and Standards for clients in the less strict country. 他的做法并没有错
发表于 2009-4-14 13:07
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