kittyQ
2019-05-05 17:44Lily, CFA, is an investment manager. Lily sent an anonymous letter to securities regulators outlining various accounting irregularities at Ruddney Company last month. Lily shorted Ruddney stock for his clients shortly before he sent the letter to the regulators. Lily leaked this information to multiple sources in the media once the regulators opened an investigation. Consequently, the share price of Ruddney immediately dropped 20% when news of the investigation became public. Lily then covered the short positions and made $10 per share for his clients. Which of the following CFA Institute Standards of Professional Conduct did Lily least likely violated? 老師， 你好，這道題里面, 哪一點(diǎn)說(shuō)明了Lily有misconduct
所屬：CFA Level I 視頻位置 相關(guān)試題
來(lái)源： 視頻位置 相關(guān)試題
1個(gè)回答
Chris Lan助教
2019-05-05 18:37
該回答已被題主采納
同學(xué)你好，
misconduct，核心原則是從業(yè)人員的所作所為是站在客戶的角度，是否會(huì)影響他的專業(yè)信譽(yù)，誠(chéng)信等。
這個(gè)人明顯在散布假消息操縱市場(chǎng)，所以這一行為是有違從業(yè)人員職業(yè)操守的，所以違反misconduct.
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