Carlyle remains impressed with Paladin’s growth opportunities and attention to customer satisfaction. Robinson asks Carlyle to meet with several potential new clients for Marietta. He believes that demonstrating his direct access to Street research analysts will help him gain new clients. Several minutes prior to the start of the meeting Robinson introduces Carlyle to one of his existing clients. Carlyle reviews with them a recent conversation she had with the Paladin CFO regarding new growth opportunities which she plans to include in her next research report. Carlyle meets with Robinson’s potential clients and discusses the stock research process.
During Carlyle’s meeting with Robinson’s potential clients, who most likely committed a violation of the CFA Institute Standards of Professional Conduct?
- Carlyle
- Neither Carlyle nor Robinson
- Robinson
Yes
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