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很内向吃饱了也不说一直吃 · 2025年05月09日

I(D)Misconduct

NO.PZ2025041601000004

问题如下:

Margaret Belle, CFA, owns an investment firm. She is found guilty of deceitful business conduct, the circumstances of which lead directly to her personal bankruptcy. Belle is also an activist for climate action. On one particular weekend, Belle attends a public, nonviolent protest as part of a permitted demonstration in her country. After the protest she is arrested by the police for trespassing on a company's property.Question

Belle has violated the Standard relating to misconduct by:

选项:

A.A.attending a public protest. B.B.filing for personal bankruptcy. C.C.trespassing on the property of a company.

解释:

  • demonstrate a thorough knowledge of the CFA Institute Code of Ethics and Standards of Professional Conduct by applying the Code and Standards to specific situations

老师,请问这道题不应该是deceitful business conduct反映欺诈不诚信嘛,为什么是file for bankruptcy违反呢?C选项是不是比B准确些呢?谢谢!

1 个答案
已采纳答案

王暄_品职助教 · 2025年05月12日

Belle 的 deceitful business conduct(商业欺诈) 直接导致她的个人破产,这属于职业上的不当行为,因此违反了 misconduct 标准。而 trespassing(非法侵入) 虽然是违法行为,但它是个人活动(周末抗议),与她的投资职业无关,所以不算违反 CFA 的职业行为准则。