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Pavel Korchagin · 2023年07月05日

这题目有问题吧？

  1. CFA I
  2. Ethics

NO.PZ2016032802000034

问题如下：

Tribe Zhang, CFA, is a portfolio manager. One of his rich clients Pee told Tribe that he was so upset that his company, which produced artificial intelligence robot, was under investigation for the fictitious financial statements. Coincidentally, Tribe’s friend Melo was recently preparing for the listing of Pee’s company. So, Tribe quickly informed Melo about this investigation to stop Pee’s company going public. Did Tribe violate the Code and Standards?

选项：

A.

Yes, because he failed to keep the confidentiality of his client's information.

B.

Yes, because he didn't report to the proper authorities about this fictitious financial statements.

C.

No.

解释：

A is correct.

According to Standard III(E) Preservation of Confidentiality, Tribe mustn’t tell this information to his friend although this is an illegal activity. He could only disclose this to the proper authorities if required.

B为什么不对，课上不是明确说如果违法就报给监管机构吗？怎么又变成不问就不说了

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已采纳答案

王暄_品职助教 · 2023年07月06日

不是要上报给监管机构，协会没有这样的要求，协会支持你上报，但是不上报也是可以的

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NO.PZ2016032802000034问题如下TriZhang, CFis a portfolio manager. One of his riclients Pee tolTrithhe wso upset thhis company, whiproceartificiintelligenrobot, wunr investigation for the fictitious financistatements. Coincintally, Tribe’s frienMelo wrecently preparing for the listing of Pee’s company. So, Triquickly informeMelo about this investigation to stop Pee’s company going publiTriviolate the Co anStanr?A.Yes, because he faileto keep the confintiality of his client's information.B.Yes, because he 't report to the proper authorities about this fictitious financistatements.C.No.A is correct.Accorng to StanrIII(E) Preservation of Confintiality, Trimustn’t tell this information to his frienalthough this is illegactivity. He coulonly sclose this to the proper authorities if require如果知道个坏消息，这种对朋友正确做法是啥呢？如果再换成是对自己基金的客户，又该怎么做呢？啥都不做也不太合适吧？

2023-09-02 12:55 1 · 回答

NO.PZ2016032802000034 Yes, because he 't report to the proper authorities about this fictitious financistatements. No. A is correct. Accorng to StanrIII(E) Preservation of Confintiality, Trimustn’t tell this information to his frienalthough this is illegactivity. He coulonly sclose this to the proper authorities if require讲义第200页说为客户信息保密除了以下几种情况，其中包含信息中包含违法活动，这题包含了违法活动，但是还是不能透露，请问包含违法活动但是能透露的是哪种情况？或者说能透露给谁？

2021-10-08 15:14 2 · 回答

NO.PZ2016032802000034 老师好 不是说Member shoulkeep client's info confintiexcept to authorizeworkers who are also working for the client， 为什么这里的朋友不能算作是authorizeworkers who are also working for the client, 朋友不是在帮该客户弄IPOlisting 吗？谢谢。

2021-08-10 05:58 1 · 回答

请老师翻译一下这道题目

2020-05-27 07:30 1 · 回答