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Ethical and Professional Standards
Ethical and Professional Standards
Hard
Emilia is a portfolio manager who also serves on the board of Westlake Industries, a company she covers in her research. She discloses the board position to her employer but NOT to her investment clients. Emilia has most likely violated:
A
Standard VI(A) Disclosure of Conflicts by failing to disclose to clients
B
No standard, because disclosing to her employer is sufficient
C
Standard IV(A) only, because this is solely an employer issue
D
Standard I(B) Independence and Objectivity by serving on the board
Select an answer to continue
Tags
#standard-vi
#disclosure
#conflicts-of-interest
#board-membership
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