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CFA Level 2 - Ethical and Professional Standards
Beginner
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Lisa, a CFA Institute member, works as a research analyst at an investment bank. She discovers that her colleague, Mark, has been sharing confidential client information with his friends who work at other firms. When Lisa confronts Mark about this, he tells her that everyone does it and that she should mind her own business. According to the CFA Institute Standards of Professional Conduct, what should Lisa do?
a.
Report the violation to her supervisor and/or the CFA Institute Professional Conduct Program
b.
Document the incident in detail but take no further action to avoid damaging relationships with colleagues
c.
Discuss the issue further with Mark to understand his perspective and reach a mutually agreeable solution
Beginner