Question：
Nicholas Bennett, CFA, is a trader at a stock exchange. Another trader approached Bennett on the floor of the exchange and verbally harassed him about a poorly executed trade. In response, Bennett pushed the trader and knocked him to the ground. After investigating the incident, the exchange cleared Bennett from any wrongdoing. Which of the following best describes Bennett's conduct in relation to the CFA Institute Code of Ethics or Standards of Professional Conduct? Bennett:
A. violated the standard relating to professionalism.
B. did not violate any of the Code of Ethics or Standards of Professional Conduct.
C. violated both the standard relating to professionalism and integrity of capital markets.
Answer = A
The CFA Institute Code of Ethics requires members to act with integrity, competence, diligence, respect, and in an ethical and professional manner. The Standards of Professional Conduct relating to professional misconduct state members and candidates must not commit any act reflecting adversely on their professional reputation, integrity, or competence. Bennett's actions violated the Code of Ethics and StandardI(D)–Professionalism, but not Standard II–Integrity of Capital Markets.
CFA Level I
"Guidance for Standards I-VII," CFA Institute
Standard I(D), Standard II
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权威名师倾情打造，助力通过金融第一考 |
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权威名师倾情打造，助力通过金融第一考 |
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双语教学，助力提升金融专业英语水平 |
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