Question
Ex-trader admits to second insider trading scheme News items involving ethics ( specially related to finance and banking, news that is within a year or
Ex-trader admits to second insider trading scheme
News items involving ethics ( specially related to finance and banking, news that is within a year or within 5 months)
Describe the case, and answer the questions below using the ethics matrixes. Using the news article regarding Ex-trader admits to second insider trading scheme and other researched information, please analyze this case using the ethical matrixes below, and also answer the questions below.
Ethics Issues Matrix
Issue | Trust | Fairness | Efficiency | Competence |
Conflict of interest | ||||
Fiduciary Responsibility | ||||
Power Asymmetry | ||||
Information Asymmetry | ||||
Moral Hazard | ||||
Social Responsibility |
Ethics Stakeholders Matrix
Who suffers? | Trust | Fairness | Efficiency | Competence |
Client(s) | ||||
Client's families/ my family | ||||
Colleagues/partners | ||||
Employer/Firm | ||||
Professional Association | ||||
The "Market" | ||||
Society |
1.What happened ?
2.What was the Ethical Issue ?
3.Who suffered?
4.What penalties were given?
5. What CFA standard was violated?
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