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CFA Level 1 Question of the Week - Ethical and Professional Standards
Tiara Corporation (TCorp) is one of the largest corporate clients of Al & Co., a U.S. based investment management firm. Recently, Al & Co. discovered significantly adverse news about TCorp. Unwilling to disseminate adverse opinions about their client, the firm put it on a restricted list and removed it from the research universe.
Are Al & Co.'s actions most likely in compliance with the CFA Institute Standards of Professional Conduct?
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CFA Level 1 Question of the Week - Ethical and Professional Standards 11 votes
B. No, because TCorp should disseminate the information to its clients.
C. No, because TCorp should disseminate the information to clients and prospective clients.