NO.PZ2024022002000040
问题如下:
Brett Arun, CFA, plays a key role in helping a manufacturing firm choose Ramport Investments for its pension fund management. Subsequently, Arun accepts a hidden referral fee from Ramport. Is this acceptance in line with the ethical standards set by the CFA Institute?选项:
A.No violation occurred. B.Yes, he violated the standards by not disclosing the referral fee. C.Yes, he should not have accepted the referral fee at all.解释:
Option C is correct. Arun breached Standard VI(C)–Referral Fees by failing to inform the client about his financial arrangement with Ramport beforehand. Accepting such a fee without prior client knowledge constitutes an ethical violation.答案的解析看起来也应该选B啊