[单选题]

Sergio Morales, CFA believes he has found evidence his supervisor is engaged in fraudulent activity concerning a client's account. When Morales confronts his supervisor, he is told the client is fully aware of the issue. Later that day, Morales contacts the client and upon disclosing his evidence, is told he should mind his own business. Concerned his job is at risk, Morales provides his evidence, along with copies of the client's most recent account statements, to a government whistle blower program. Morales is least likely to have violated which of the following CFA Institute Standards of Professional Conduct?

A.Duties to Clients

B.Duties to Employers

C.Communication with Clients

参考答案与解析:

相关试题

Sergio Morales, CFA, believes he has found evidence that his supervisor is engaged in fraudulent act

[单选题]Sergio Morales, CFA, believes he has found evidence that his supervisor is

  • 查看答案
  • When he _________ the door, he found his

    [单选题]When he _________ the door, he found his keys were nowhere.A. would open B. opened C. had opened D. was to open

  • 查看答案
  • When he the door, he found his keys were

    [单选题]When he the door, he found his keys were nowhere.A. would open B. opened C. had opened D. was to open

  • 查看答案
  • He does wholesale business _ his brother is engaged in retail business.

    He does wholesale business _ his brother is engaged in retail business.A. whileB

  • 查看答案
  • No one here believes the reason ______ he gave for his lateness.

    No one here believes the reason ______ he gave for his lateness.A. thatB. whyC.

  • 查看答案
  • Bart Wiley, CFA, has decided to revise his firm's written compliance manual. He checks with cou

    [单选题]Bart Wiley, CFA, has decided to revise his firm's written compliance manual

  • 查看答案
  • Wang Dazong, CFA, is a sole proprietor investment advisor. Dazong believes in putting his money at r

    [单选题]Wang Dazong, CFA, is a sole proprietor investment advisor. Dazong believes

  • 查看答案
  •  He became very___________ when he found the disloyalty of his wife.

    [单选题]He became very___________ when he found the disloyalty of his wife.A.ingeni

  • 查看答案
  • He has a( )habit of biting his lips when he is puzzled.

    [单选题]He has a( )habit of biting his lips when he is puzzled.A.commonB.characteri

  • 查看答案
  • Has he told you where he ______ his holiday next month?

    Has he told you where he ______ his holiday next month?A. would spendB. will spe

  • 查看答案