Session 1: Ethical and Professional Standards
Reading 2-VI: Standards of Professional Conduct & Guidance: Conflicts of Interest
LOS A.: Disclosure of Conflicts.
Abner Flome, CFA, is writing a research report on Paulsen Group, an investment advisory firm. Flome’s brother-in-law holds shares of Paulsen stock. Flome has recently interviewed for a position with Paulsen and expects a second interview. According to the Standards, Flome’s most appropriate action is to disclose in the research report:
A)his brother-in-law’s holding of Paulsen stock and that he is being considered for a job at Paulsen.
B)that he is being considered for a job at Paulsen.
C)his brother-in-law’s holding of Paulsen stock.
The possibility of employment with Paulsen creates a potential conflict of interest which Flome must disclose. Standard VI(A) Disclosure of Conflicts does not require disclosure of his brother-in-law’s ownership of Paulsen stock.
高顿网校温馨提醒
各位考生，2015年12月CFA备考已经开始，为了方便各位考生能更加系统地掌握考试大纲的重点知识，帮助大家充分备考，体验实战，高顿网校开通了全免费的
CFA题库（包括精题真题和全真模考系统），题库里附有详细的答案解析，学员可以通过多种题型加强练习，通过针对性地训练与模考，对学习过程进行全面总结。
点击进入CFA免费题库>>> | CFA精品网课 | 课程专业名称 | 讲师 | 试听 |
3455人正在学习该门课程
| CFA全维度高清网课体验课程
全维度高清实景课堂与录影棚高清独立录制
针对CFA协会考纲，逐点精讲，帮助考生全面掌握CFA课程及考点 | Anky
高顿名师 |  |
80%的人选择了该门课程
| CFA任务制网课（全科）
学员可以灵活选择报读CFA课程
自主地掌握学习的进度
享受更多的学习优惠与增值服务 | Remmy
高顿名师 | |
写评论
