乐同学2020-10-24 22:04:26
Q27 为什么不算违反conflicts of interest? 除了违反integrity of Capital Markets, 还有违反其他条款吗? “Place client interests first: Members and candidates must serve the best interests of clients.” “Members and Candidates must make full and fair disclosure of all matters that could reasonably be expected to impair their independence and objectivity or interfere with respective duties to their clients, prospective clients, and employer. ” 摘录来自: CFA Institute. “2020 CFA Program Level I Volume 1 Ethical and Professional Standards and Quantitative Methods。”
回答(1)
Danyi2020-10-26 15:14:05
同学你好,
conflicts of interest利益冲突主要是针对于和客户之间的。本题并没有客户,主人公是退休人员只想卖出自己的股票。
其他条款没有违反
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