问题
单项选择题
Roger Smith is a retail broker for TNT Securities, a small regional broker firm. As a CFA member, according to the Code of Ethics and Standards of Professional Conduct relating to knowledge of the law, he is most likely required to:（）
A. report violations of the Code of Ethics and Standards of Professional Conduct to appropriate regulatory organization.
B. dissociate from any activity that is believed to be illegal or unethical.
C. report violations of the Code of Ethics and Standards of Professional Conduct to CFA Institute.
答案
参考答案：B
解析：
CFA会员道德行为标准规定：CFA会员或考生必须在任何时候远离任何非法的或者不道德的行为，而向CFA协会和合适的监管机构报告并不是必须的。CFA协会并不要求会员或考生将他们已经知道的违法违规行为向合适的监管机构进行报告，而且这种报告在某些情况下是审慎的，如果法律有要求，有可能会成为必须。CFA协会也并不要求会员或考生将他们已经知道的违法违规行为向CFA协会进行报告，但CFA协会鼓励会员或考生这么做。