Justin Sato, CFA, treasurer for a college, manages the Student Scholarship Trust. Sato issued a Request for Proposals (RFP) for domestic equity managers. Pamela Peters, CFA, a good friend of Sato, introduces him to representatives from Capital Investments, who submitted a proposal. Sato selected Capital as a manager based on the firm’s excellent performance record. Shortly after the selection, Peters, who had outstanding performance as an equity manager with another firm, accepted a lucrative job with Capital. Which of the CFA charterholders violated CFA Institute Standards of Professional Conduct()
A. Sato violated standards.
B. Peters violated standards.
C. Neither Sato nor Peters violated standards.
参考答案:C
解析:
[分析]: 由题干可知,Sato之所以选择资本投资公司,主要是因为该公司具有良好的投资业绩,而不是基于其好友的推荐;Peters之所以获得资本投资公司的职位,是因为他以往的工作表现,而不是基于之前其对该公司的推荐。因此,上述两位CFA证书持有人均未违反CFA协会的执业操守标准。 [考点] 专业领域