2、Several years ago Leo Peek, CFA, founded an investment club with three friends. The investment club's account grew rapidly to a substantial size, but the club has not actively traded the 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. Has Peek violated any CFA Institute Standards of Professional Conduct? A. No. B. Yes, with respect to fiduciary duty. C. Yes, with respect to selective disclosure. D. Yes, with respect to conflicts of interest.
[此贴子已经被作者于2008-11-7 14:02:14编辑过] | 
发表于 2008-5-27 11:03
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