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| A large manufacturing company is seeking help finding a fund manager for its pension plan. After a comprehensive but unsuccessful search, Brett Arun, CFA, is hired to solicit proposals from various fund managers. Arun is paid a lump sum fee for his services. The search concludes with the hiring of Ramport Investments as the pension plan's manager. A year after Ramport is hired, the pension administrator sends Arun a letter telling him how satisfied the pension trustees are with the services provided by the fund manager. Subsequently, without the plan sponsor's knowledge, Arun receives a payment from Ramport for successfully introducing it to the pension plan under an agreement entered into when the search was initiated. Regarding the payment received, did Arun most likely violate the CFA Institute Code of Ethics and Standards of Professional Conduct? A:No. B:Yes, because he did not disclose the payments to all parties. C:Yes, because he should have refused payment from the fund manager. |
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