Bob Thompson, CFA, is an analyst at Government Brokers, Inc., which is a brokerage firm specializing in government bond trading. Which of the following statements complies with the CFA Institute Code of Ethics and Standards of Professional Conduct()
A. Thompson must notify Government Brokers, Inc. of his responsibility to abide by the CFA Institute Code of Ethics and Standards of Professional Conduct.
B. Thompson must be responsible for the ethical actions of other investment professionals in Government Brokers, Inc..
C. Thompson must practice and encourage others to practice in a professional and ethical manner that will reflect credit on themselves and the profession.
参考答案:C
解析:
行使并鼓励他人行使专业的和符合道德规范的行为来彰显其自身和该行业的声誉是伦理道德六条总纲之一。通知雇主遵守伦理道德和专业行为标准,以及为公司其他投资专业人士的道德行为负责任并不是必要的。