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一只可爱的猪 · 2022年05月23日

对于受益人,难道不是应该有需要就满足吗?这个题目的对应考点是什么?哪一条佐证?

Bronson provides investment advice to the board of trustees of a private university endowment fund. The trustees have provided Bronson with the fund’s financial information, including planned expenditures. Bronson receives a phone call on Friday afternoon from Murdock, a prominent alumnus, requesting that Bronson fax him comprehensive financial information about the fund. According to Murdock, he has a potential contributor but needs the information that day to close the deal and cannot contact any of the trustees. Based on the CFA Institute Standards, Bronson should:

A Send Murdock the information because disclosure would benefit the client.

B Not send Murdock the information to preserve confidentiality.

C Send Murdock the information, provided Bronson promptly notifies the trustees.


对于受益人,难道不是应该有需要就满足吗?这个题目的对应考点是什么?哪一条佐证?

1 个答案

王暄_品职助教 · 2022年05月24日

本题考点是保密性这一条

现在Murdock这个人作为一名校友,想给这个基金捐钱,所以向Bronson要这个基金的相关信息

Bronson是不可以给的,因为这是客户信息,除非客户同意你披露,你才可以披露。

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