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Debrah · 2019年03月09日

问一道题:NO.PZ2016040303000040 [ CFA III ]

问题如下图:

选项:

A.

B.

C.

解释:

没看懂,为什么不违反啊

1 个答案
已采纳答案

发亮_品职助教 · 2019年03月11日

这个是向顾客定期发送的Regular newsletter,在里面提到了这件事,并且披露了他的相关利益,不算违反。如果说是专门为了这件事利用客户信息宣传,比如说专门打电话,或者专门发邮件,这种情况是违反;或者就像答案说的,将客户信息泄露给这个Golf program,是很明显的违法。

C选项里面的Organization不是他的Employer,指的是Golf program。在Newsletter里面宣传,不涉及利用客户信息所以不违反;同时不涉及和雇主的利益冲突,不需要披露。

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