试题与答案

A CFA charterholder is asked to review her

题型:单项选择题

题目:

A CFA charterholder is asked to review her firm’s soft dollar practices. As part of the review, she notes that her firm has failed to disclose the practices to the firm’s clients in writing as required by law. She does not report the firm’s violation to the appropriate regulatory authority, has the charterholder violated any CFA Institute Standards of Professional Conduct()

A. No.

B. Yes, because she failed to act in the best interest of her employer.

C. Yes, because she is required to report legal violations to the appropriate authority.

答案:

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答案:C

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