제목 | 이규민 강사님께 문의 드립니다. | ||||
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등록일 | 2023-10-31 오후 5:48:00 | 조회수 | 442 | ||
cfa lv2 mock exam ethics 질문안녕하세요 ethic 관련 질문이 있습니다
[문제]
While in her home office Duffy prepares for a video call with Lucy Tilton, CFA. Duffy met Tilton while attending a CFA-sponsored conference. Tilton is a portfolio manager specializing in alternative investments, specifically the use of futures and options to mitigate risk for accounts that allow the use of alternative investments. Duffy is particularly interested in adding someone with this expertise as it is not her strength. Tilton is very interest in working with Duffy, but she feels Victory has not reached an asset management level to support the compensation she requires. They decide on a mutually beneficial arrangement in which Tilton will create a report for Duffy’s use with daily commentary about how she is navigating the market for her firm and their clients. Tilton relishes the idea of working for a smaller firm and hopes to join Duffy in the near future.
해당 단락에서 출제된 문제의 답은 Standard IV(A) Loyalty 위반 그리고 I(B) Independence &Objectivity 위반입니다. Loyalty를 위반했다는 것은 이해가 가지만 어떤 부분에서 Independece & Objectivity 까지 위반했다는 것인지 이해가 가지 않습니다... 답변 부탁 드립니다. 감사합니다.
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다음글 | 김형진 강사님께 문의 드립니다. |
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이전글 | 김종곤 강사님께 질문 드립니다. |