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kittyQ2019-05-05 17:44:25

Lily, CFA, is an investment manager. Lily sent an anonymous letter to securities regulators outlining various accounting irregularities at Ruddney Company last month. Lily shorted Ruddney stock for his clients shortly before he sent the letter to the regulators. Lily leaked this information to multiple sources in the media once the regulators opened an investigation. Consequently, the share price of Ruddney immediately dropped 20% when news of the investigation became public. Lily then covered the short positions and made $10 per share for his clients. Which of the following CFA Institute Standards of Professional Conduct did Lily least likely violated? 老师, 你好,这道题里面, 哪一点说明了Lily有misconduct

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回答(1)

Chris Lan2019-05-05 18:37:06

同学你好,
misconduct,核心原则是从业人员的所作所为是站在客户的角度,是否会影响他的专业信誉,诚信等。
这个人明显在散布假消息操纵市场,所以这一行为是有违从业人员职业操守的,所以违反misconduct.

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