arlyle remains impressed with Paladin’s growth opportunities and attention to customer satisfaction. Robinson asks Carlyle to meet with several potential new clients for Marietta. He believes that demonstrating his direct access to Street research analysts will help him gain new clients. Several minutes prior to the start of the meeting Robinson introduces Carlyle to one of his existing clients. Carlyle reviews with them a recent conversation she had with the Paladin CFO regarding new growth opportunities which she plans to include in her next research report. Carlyle meets with Robinson’s potential clients and discusses the stock research process.
Q. During Carlyle’s meeting with Robinson’s potential clients, who most likely committed a violation of the CFA Institute Standards of Professional Conduct?
- Carlyle
- Neither Carlyle nor Robinson
- Robinson
Solution
B is correct. Neither Carlyle nor Robinson has violated the CFA Institute Standards of Professional Conduct during the meeting with Robinson’s potential clients. By asking Carlyle to meet with several potential new clients Robinson is simply attempting to grow his client base. By merely discussing her research approach, Carlyle has not given preferential treatment to these potential clients. Carlyle has not violated the standards as she has only discussed the research process and did not disclose her most current research. A and C are incorrect because Carlyle merely discusses the research process and did not disclose her most current research or thoughts to Robinson’s potential new clients.
题干提到 Carlyle reviews with them a recent conversation she had with the Paladin CFO regarding new growth opportunities which she plans to include in her next research report，这些是要在下一个报告中提到的，carlyle与部分潜在客户讨论（其他客户还没有看到）是不是违反了fair dealing？
