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| The O’Douls (husband and wife) have decided to work with Jane Mack, CFA, to have her recommend an investment portfolio for them. The O’Douls are novice investors and Mack has determined their asset allocation model falls into the conservative category. After researching various investment options for the O’Douls, Mack has made a recommendation that they divide their account on a 25%/75% basis between shares of a computer peripherals manufacturing company her brokerage firm is underwriting and investment grade corporate bonds. The O’Douls are not aware that Mack’s firm is underwriting an offering of the company in question. Which CFA Institute Standard(s) has Mack violated given her actions?
A. Standard V(A), Diligence and Reasonable Basis, and I(D), Misconduct. B. Standard III(B), Fair Dealing, and III(A), Loyalty, Prudence, and Care. C. Standard VI(A), Disclosure of Conflicts, and III(C), Suitability. |