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考拉女士 · 2020年08月11日

问一道题:NO.PZ2016032802000001 [ CFA II ]

问题如下:

Aden Roman, CFA, an investment analyst who works for a firm based in the United States. But the firm allows Aden to work at his own country which is a small city called Suvenia in Europe. Suvenia's law allows insider trading for the people who works in their country, which is prohibited in the United States. Aden thinks that because he works in his own country, he should follow Suvenia's law. Does Aden violate the Code and Standards?

选项:

A.

No, because he follows Suvenia's law which is appropriate.

B.

No, because the firm allows him to work in Suvenia and to obey Suvenia's law.

C.

Yes.

解释:

C is correct.

According to Standard I(A) Knowledge of the Law, Aden should comply with United States' law which is stricter than Suvenia's law.

请问不应该遵守工作地当地的法规吗?

1 个答案

王暄_品职助教 · 2020年08月13日

嗨,从没放弃的小努力你好:


CFA standards说的是我们应该遵循更严格的法律,所以两者相比较,美国的更加严格,所以这题里Aden遵循了本国的法律就算是违反了CFA的准则。


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努力的时光都是限量版,加油!