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whew1110

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tT
发表于 2013-4-3 22:47 | 只看该作者

Schweser Mock Exam 1 Morning #11

buying, accounts, anything, personal
So… say if someone who is a retail broker manages client accounts. He notices that one client is extremely good at buying undervalued stocks  and he decides to follow that client’s every move for his personal account.
The answer says that this this broker did not violate anything… but I just feel like he did, because this seems sketchy to me. (doesn’t pass the “smell” test)
Anyone care to weigh in?

 

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kseniaru

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发表于 2013-4-3 22:49 | 只看该作者
I think the trick here is that its his personal account, if he were doing these trades in other client accounts it would be a violation because he wouldn’t have done diligence or have reasonable basis for the recommendation. That aside, definite grey area because I think that would constitute misconduct, as it reflects negatively on the profession and the CFA institute.

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atate2007

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发表于 2013-4-3 22:52 | 只看该作者
I think the trick here is that its his personal account, if he were doing these trades in other client accounts it would be a violation because he wouldn’t have done diligence or have reasonable basis for the recommendation. That aside, definite grey area because I think that would constitute misconduct, as it reflects negatively on the profession and the CFA institute.

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