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二狗 · 2024年10月10日

evaluates its portfolio impact with analysts不算暴露客户的意图吗?

NO.PZ2024022002000226

问题如下:

When Linda Barr, CFA, receives a client's stock order without solicitation, she evaluates its portfolio impact with analysts and, recognizing its value, advises it to similarly positioned clients before conducting a collective trade. Which practice contravenes the ethical guidelines on confidentiality?

选项:

A.Conducting the collective trade. B.Consulting with analysts about the client's unsolicited order. C.Both the consultation and the collective transaction.

解释:

Option A is unequivocally correct. The confidentiality standard, encapsulated in Standard III (E), obliges the safeguarding of client information, necessitating client consent prior to any disclosure. Barr's aggregate transaction for both the initiating and additional clients, executed without explicit client authorization, violates this confidentiality principle.

这里也没说这些analysts是不是内部同事啊

1 个答案

王暄_品职助教 · 2024年10月11日

Linda Barr与分析师一起评估了该订单对投资组合的影响。这一行为本身并不直接违反保密原则,因为分析这些影响是为了提供专业的投资建议。除非这些分析师不是公司内部的,且没有签署保密协议,否则这一行为通常被视为在正常工作范围内。但题目中并未明确分析师的身份,因为通常是默认为同事的。