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more2019-08-12 21:39:27

George, CFA, is a fund manager working for the general partner of a new private equity fund. George includes in the fund marketing material his performance history from his previous employer. He is permitted by his former employer to take his historical return figures and the supporting research reports he used to make the related investment decisions. Did George most likely violate the CFA Institute Code of Ethics and Standards of Professional Conduct? A Yes, regarding Record Retention. B No. C Yes, regarding Loyalty. George includes in the fund marketing material his performance history from his previous employer. He is permitted by his former employer to take his historical return figures and the supporting research reports he used to make the related investment decisions. 这里不是已经说这个人得到前单位的允许可以用数据了么

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Paul2019-08-13 17:57:42

同学你好,这里雇主只同意他带走历史投资业绩及相关研究报告支持,但是并没有说明是否能够带走相应的交易记录,所以这里是不能披露过去的业绩的。当然这道题考点过于细了,不是特别有意义。

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