CFA考试道德:这道题违背了哪个道德准则?

备考CFA考试每天一道CFA考试来了,你是不是在练习CFA考试道德知识呢?如果是的话,那你可以看看这道CFA考试题是如何做的,如果你知道如何做的话,那这个知识点你是掌握了!

CFA考试道德知识

Molly Burnett, CFA, is a portfolio manager for a fund that only invests in environmentally friendly companies. A multinational utility company recently acquired one of the fund's best-performing investments, a wind power company. The wind power company's shareholders received utility company shares as part of the merger agreement. The utility has one of the worst environmental records in the industry, but its shares have been one of the top performers over the past 12 months. Because the utility pays a high dividend every three months, Burnett holds the utility shares until the remaining two dividends arc paid for the year then sells the shares. Burnett most likely violated the CFA Institute Standard of Professional Conduct concerning:

A. Disclosure of Conflicts

B. Independence and Objectivity

C. Suitability

【答案I C

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【解析】违背客户IPS则违法了 Standard IH(C)-Suitability. IPS中包括客户的目标和限制,题干中表明客户要求投资于环境友好的企业,但是持有的wind power company被一个对林境不友好的企业收购,那么此时该公司已经不符合客户的要求。

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