Several years ago, Simon Ma, CFA, founded

问题单项选择题

Several years ago, Simon Ma, CFA, founded an investment club with three friends. The investment club’s account grew rapidly to a substantial size, but the club has not actively traded the account for at least a year and does not plan to resume active trading of the account. Simon’s employer requires an annual disclosure of employee stock ownership. Simon discloses all of his personal trading accounts., but does not disclose his holdings in the investment club. Has Simon most likely violated any CFA Institute Standards of Professional Conduct（）

A. No

B. Yes, with respect to fiduciary duty.

C. Yes, with respect to confilicts of interest.

答案

参考答案：C

解析：

Members should disclose all beneficial ownership that could reasonably cause a conflict of interest. Additionally, because Simon’s employer requires the disclosure, a failure to provide full information would violate his employer’s policies and CFA Institute Standards of Professional Conduct.