Question 7
Sergio Morales, CFA, believes he has found evidence that his supervisor is engaged in fraudulent
activity concerning a client’s account. When Morales confronts his supervisor, he is told that the
client is fully aware of the issue. Later that day Morales contacts the client and, upon disclosing
his evidence, is told that he should mind his own business. Concerned that his job is at risk and
seeking to elevate his ethical reputation should he need to job hunt, Morales provides his
evidence and copies of the client’s most recent account statements to a government
whistleblower program. Morales is least likely to have violated which of the following CFA
Institute Standards of Professional Conduct?
A Duties to Clients
B. Duties to Employers
C. Communication with Clients
Correct answer: C
C is correct because this Standard has not been violated. Even though he talked to the client, the communication did not relate to the investment process.
这道题不太明白，A和C有什么区别，正确该如何处理？作者: apf陈老师 时间: 2013-9-12 21:55
正确的做法应该是：首先要向本公司的compliance部门报告。直接向政府部门报告肯定是不对的，这会违反duties to clients里面的preservation of confidentiality。
