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wenxing · 2019年02月24日

问一道题:NO.PZ2018062009000040 [ CFA I ]

问题如下图:我认为应该先向同学取得同意,然后开始募捐,否则违法保密性?

选项:

A.

B.

C.

解释:

2 个答案
已采纳答案

发亮_品职助教 · 2019年02月26日

这道题没有违反任何准则。

可能涉及到的Standard III(E)–Preservation of Confidentiality,这条准则对Clients,prospective clients,employer的信息保密。

同学不属于客户,所以不存在保密信息。

第二点是,如果这个人把客户信息给了同学,或者给了基金会让去联系他的客户募捐,那么违反了这题准则,因为泄露的客户信息。

第三点就是这个人是Send a regular email,属于定期和客户联系的email,比如说投资策略,业务,披露什么的。他在Email里提到了募捐的情况,这点不需要得到雇主同意。

如果说这个人是直接发了一个邮件,目的就是募捐,那这种情况属于违反准则的情况,需要得到雇主同意

猫猫酱 · 2020年11月11日

​老师,我分不清单独发邮件和邮件里顺带提一嘴有什么实质性区别?

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NO.PZ2018062009000040 问题如下 Luna attena class reunion recently anone of her classmate got cancer, so they wanteto raise money for her classmate. The next week Luna sent a regulemail to all clients, inclung her classmate’s situation anthe ia of raising money. Luna most likley: A.not violate the Co anStanr. B.violatethe Co anStanr raising money from his clients. C.violatethe Co anStanr not getting approvof his employer before she sent email to clients. A is correct.Luna sent email about raising money for her classmate whisclousethe relationship between her anthe classmate to her clients. She also not proviclients’ informations to her classmate, the nation is voluntary. She not mage employer’s interest. So, Luna not violate the Co anStanr.Luna给自己的客户发送邮件,说明了募集资金的事情,并且披露了她和她同学的关系。Luna没有提供自己客户的信息给她的同学,且捐赠属于自愿性行为。Luna也没有损害雇主的利益,所以她没有违反准则的规定。 我不理解。为什么这里就不需要经过客户同意就可以发邮件告诉所有人这个客户的私事

2023-08-31 07:36 1 · 回答

violatethe Co anStanr raising money from his clients. violatethe Co anStanr not getting approvof his employer before she sent email to clients. A is correct. Luna sent email about raising money for her classmate whisclousethe relationship between her anthe classmate to her clients. She also not proviclients’ informations to her classmate, the nation is voluntary. She not mage employer’s interest. So, Luna not violate the Co anStanr. Luna给自己的客户发送邮件,说明了募集资金的事情,并且披露了她和她同学的关系。Luna没有提供自己客户的信息给她的同学,且捐赠属于自愿性行为。Luna也没有损害雇主的利益,所以她没有违反准则的规定。 虽然是regulemail,但是还是利用了公司资源(客户名单)去做了和本职工作无关的事情,如果这个信息是发在socimea上的就ok,但是利用公司资源也不违反,我就无法理解了。

2021-02-05 20:21 1 · 回答

violatethe Co anStanr raising money from his clients. violatethe Co anStanr not getting approvof his employer before she sent email to clients. A is correct. Luna sent email about raising money for her classmate whisclousethe relationship between her anthe classmate to her clients. She also not proviclients’ informations to her classmate, the nation is voluntary. She not mage employer’s interest. So, Luna not violate the Co anStanr. 老师,我分不清单独发邮件和邮件里顺带提一嘴有什么实质性区别?我看你回答其他同学的时候说,后者不违反但前者违反,可我觉得两者没有实质性区别,都需要披露呀?

2020-11-11 14:10 6 · 回答

C的应该更好啊!先得到雇主同意在发邮件众筹

2019-11-14 04:12 1 · 回答

    老师,如果说她发的邮件是有针对性的发,比如只是发给了vip客户这种情况,算是违反吗?

2019-11-09 11:38 1 · 回答