标题: [求助]一道ethic题目 [打印本页]
作者: wyy2010 时间: 2011-5-20 02:21 标题: [求助]一道ethic题目
11. Several years ago, Leo Peek, CFA, co-founded an investment club. The club is fully invested but has not actively traded its account for at least a year and does not plan to resume active trading of the account. Peek’s employer requires an annual disclosure of employee stock ownership. Peek discloses all of his personal trading accounts, but does not disclose his holdings in the investment club. Peek’s actions are least likely to be a violation of which of the CFA Institute Standards of Professional Conduct?
A. Misrepresentation. B. Transaction priority. C. Conflictsofinterest.
请问为什么选b啊？A在哪里体现了呢？
作者: 不羞蝙蝠 时间: 2011-5-20 05:49
不必深究，b肯定是对的，因为没有任何tansaction,而其中涉及到隐瞒和misrepreseantation相关
作者: leoye3602679 时间: 2011-5-21 05:35
mispresentation主要是针对投资者而言，不是相对他的employer，
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