LaRue was an assistant trader and worked closely with the firm’s head trader. Together, they executed trades for the firm’s equity portfolios that ranged across the market capitalization spectrum. LaRue specialized in executing trades for the firm’s small-cap products and was instrumental in implementing several technology-based trading platforms. He was excited about his position and often talked with his cousin Brooke Montgomery about his job as well as the companies and trades being executed. It was later discovered his cousin was trading in the equities LaRue discussed with Matheson, without his knowledge. The firm did not receive copies of Montgomery’s brokerage statements.
As described in point 1 of the email, which CFA Standards of Professional Conduct has LaRue least likely violated?
A Standard III, Duties to Clients
B Standard VI, Conflicts of Interest
C Standard II, Integrity of Capital Markets
B is correct.
这题目有点理解不了，特别是A到底是违反了什么？
