问题详情

Agovernmentcommitteehasconcludedthatinvestmentcompanyfeesshouldbedisclosedtoclientseachquarterandhasproposednewlegislationtorequirethis.Currently,thelegalrequirementistoreportsuchdataannually.Incompliancewithcurrentlegalrequirements,DolphinInvestmentsdisclosesitsfeesannually.EugeneShin,CFA,Dolphin"scomplianceofficer,learnsoftheproposedchangesbutdoesnotconvertDolphin"sreportingtoa
quarterlybasis.Shin"sdecisionnottoact:
A)isnotaviolationoftheCodeandStandards.
B)constitutesprofessionalmisconductasdefinedintheCodeandStandards.
C)isaviolationofhisdutytoemployerasdefinedintheCodeandStandards.
D)isaviolationofhisresponsibilitiesasasupervisorasdefinedintheCodeandStandards.