开发者:上海品职教育科技有限公司 隐私政策详情

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Butterfish · 2019年11月15日

问一道题:NO.PZ2018091705000106

问题如下:

During their meeting, Açor and Bañuq discuss charitable pledges that Udhamini has recently received and the likelihood that Njau will meet her charitable pledge. Bañuq then asks Açor the following question:

“How might my investment objectives and constraints differ from those of a typical university endowment, such as Udhamini?

The day after Açor’s meeting with Bañuq, Açor realizes that her actions in the meeting may have raised an ethical concern.

The ethical concern that Açor most likely raised is: 

选项:

A.

KYC.

B.

suitability. 

C.

confidentiality.

解释:

C is correct. The confidentiality standard is likely a concern because Açor may have shared confidential private information about Njau and her finances when she discussed Njau’s charitable pledge with her nephew, Bañuq. Standard III(E): Preservation of Confidentiality obliges wealth managers who possess highly personal and sensitive client information to maintain confidentiality. Keeping confidential information private may be challenging for Açor since she manages the portfolios of both family members.

是不是题目错了

1 个答案

包包_品职助教 · 2019年11月15日

嗨,爱思考的PZer你好:


这道题没有错误,只是这道题的题干干扰信息比较多,我们很难get 到它要考查的点。题干说Açor和Bañuq在讨论Njau的慈善目标。这意味着Açor可能把Njau慈善目标这个事情告诉了Bañuq,基金经理要对客户的信息保密,包括客户的投资目标,财产状态,甚至于客户的姓名。

如果Acor将Njau慈善目标的事情告诉Banuq的话,所以最有可能引起ethic concern的是没有对客户的信息保密。

 


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虽然现在很辛苦,但努力过的感觉真的很好,加油!