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Kevin Bryan is a financial analyst for Summit Investments. Bryan recently completed a research report recommending the stock of Independence Medical Company. Bryan failed to disclose that he has a material ownership interest in Independence Medical through a family trust.
Kim Scott, a CFA Charterholder with Overland Associates, is invited to attend an investment management conference in the Cayman Islands. The sponsor, one of Scott’s clients, has offered to reimburse Scott for all of her expenses. Scott accepts the sponsor’s offer and discloses the arrangement to her employer in writing.
Based on the CFA Institute Research Objectivity Standards, which of the following statements is CORRECT? A. Both Summit and Overland are in violation of the Research Objectivity Standards. B. Summit is in violation of the Research Objectivity Standards but Overland is not in violation. C. Neither Summit nor Overland is in violation of the Research Objectivity Standards. |