当前位置： 找题吧 >  CFA特许金融分析师 CFA考试LevelⅠ
[单选题]

Tony Roberts, CFA, is a portfolio manager at Delta Securities. He suspects a colleague, who is not a member or candidate, of ongoing activities that, while not illegal under local law, violate CFA Institute Standards of Professional Conduct. Roberts and the colleague both report to the same managing director at Delta and are both currently being considered for a promotion to senior portfolio manager. According to the CFA Institute Standards of Professional Conduct, Roberts:

A.Is required to dissociate from the activities that violate the Code and Standards if they continue.

B.Is not required to act because the Code and Standards do not apply to non-members.

C.Must report the suspected violations of the Code and Standards first to his supervisor and then to CFA Institute.

参考答案与解析：

相关试题

James Woods, CFA, is a portfolio manager at ABC Securities. Woods has reasonable grounds to believe

[单选题]James Woods, CFA, is a portfolio manager at ABC Securities. Woods has reaso

  • 查看答案

    • Zhang Zhong, CFA, is a portfolio manager in a large investment management company. He discovers that

    [单选题]Zhang Zhong, CFA, is a portfolio manager in a large investment management c

  • 查看答案

    • Danielle Deschutes, CFA, is a portfolio manager who is part of a 10-person team that manages equity

    [单选题]Danielle Deschutes, CFA, is a portfolio manager who is part of a 10-person

  • 查看答案

    • Kam Bergeron, CFA, is an equity portfolio manager who often takes time off in the afternoon to play

    [单选题]Kam Bergeron, CFA, is an equity portfolio manager who often takes time off

  • 查看答案

    • Danielle Deschutes, CFA, is a portfolio manager who is part of a 10-person team that manages equity

    [单选题]Danielle Deschutes, CFA, is a portfolio manager who is part of a 10-person

  • 查看答案

    • Anke Sash, CFA, is a portfolio manager. One day he buys 200 shares of Stock A at the market price of

    [单选题]Anke Sash, CFA, is a portfolio manager. One day he buys 200 shares of Stock

  • 查看答案

    • William Wong, CFA, is an equity analyst with Hayswick Securities. Based on his fundamental analysis,

    [单选题]William Wong, CFA, is an equity analyst with Hayswick Securities. Based on

  • 查看答案

    • Jan Loots, CFA, quit his job as a portfolio manager at an investment firm with whom he had a non- so

    [单选题]Jan Loots, CFA, quit his job as a portfolio manager at an investment firm w

  • 查看答案

    • Jan Loots, CFA, quit his job as a portfolio manager at an investment firm with whom he had a non-sol

    [单选题]Jan Loots, CFA, quit his job as a portfolio manager at an investment firm w

  • 查看答案

    • Jefferson Piedmont, CFA, a portfolio manager for Park Investments, plans to manage the portfolios of

    [单选题]Jefferson Piedmont, CFA, a portfolio manager for Park Investments, plans to

  • 查看答案

    • Tony Roberts, CFA, is a portfolio manager at Delta Securities. He suspects a colleague, who is not a