Responsibilities to Employers: Conference Attendance Ethics

Hard Professional Standards Application Responsibilities To Employers

As a senior investment advisor at WealthMax Advisors, you have been working diligently on a research report to recommend specific equity investments to your clients. One day, you receive an invitation from a technology firm to attend an exclusive conference as a guest speaker, where you would have access to non-public insights about products and services that may influence your investment recommendations.

Considering your obligations to your clients and your employer, you wonder about the ethics of attending this event. Specifically, you must decide whether participating in the conference, which may enhance your research but involves possible conflicts of interest, aligns with the CFA Institute's Code of Ethics and Standards of Professional Conduct.

You should attend the conference, as it is a valuable opportunity to enhance your reporting, and your clients would benefit from the insights.

You should decline the invitation, as accepting presents a potential conflict of interest and could violate your responsibilities to your employer.

You should attend the conference but disclose your involvement to your employer and your clients to mitigate any conflict.

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