问题
单项选择题
James Martin, CFA, is a portfolio manager in charge of several mutual funds with Global First Investments. Martin receives an oversubscribed initial public offering (IPO) and allocates it proportionately to his largest clients. Martin discloses this arrangement to all of his clients and obtains their written consent. Has Martin most likely violated the Standards of Professional Conduct（）
A. No.
B. Yes, relating to fair dealing.
C. Yes, relating to diligence and reasonable basis.
答案
参考答案：B
解析：
CFA会员和考生应该公平地对待所有客户，题目中的分配方法明显有利于大客户，损害了小客户的利益，虽然Martin告知了所有客户该安排并获得了他们的书面同意，但并不能免除CFA会员和考生应公平对待客户的责任，客户的同意与否并不是判断是否遵守相关条款的依据。该题中并不涉及勤勉尽责和合理证据的问题。