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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Yang · 2020年07月19日

问一道题:NO.PZ2016040301000005

问题如下:

Bronson provides investment advice to the board of trustees of a private university endowment fund. The trustees have provided Bronson with the fund’s financial information, including planned expenditures. Bronson receives a phone call on Friday afternoon from Murdock, a prominent alumnus, requesting that Bronson fax him comprehensive financial information about the fund. According to Murdock, he has a potential contributor but needs the information that day to close the deal and cannot contact any of the trustees. Based on the CFA Institute Standards, Bronson should:

选项:

A.

Send Murdock the information because disclosure would benefit the client.

B.

Not send Murdock the information to preserve confidentiality.

C.

Send Murdock the information, provided Bronson promptly notifies the trustees.

解释:

B is correct.

This question relates to Standard III(A) –Loyalty, Prudence, and Care and Standard III(E) –Preservation of Confidentiality. In this case, the member manages funds of a private endowment. Clients, who are, in this case, the trustees of the fund, must place some trust in members and candidates. Bronson cannot disclose confidential financial information to anyone without the permission of the fund, regardless of whether the disclosure may benefit the fund. Therefore, answer A is incorrect. Answer C is incorrect because Bronson must notify the fund and obtain the fund’s permission before publicizing the information.  

为什么不选C呢?

1 个答案
已采纳答案

王暄_品职助教 · 2020年07月19日

嗨,努力学习的PZer你好:


客户的任何信息包括这个fund的信息都不可以透露给别人,除非事前收到客户的同意。C选项中,先发给Murdock information,然后通知其他trustee,这个顺序不对。要先得到trustee同意,然后才能给Murdock发送信息。


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虽然现在很辛苦,但努力过的感觉真的很好,加油!


Yang · 2020年11月03日

Provided.... 说明trustee已经同意了呀 才用provided