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