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逢考必过过过过过过 · 2020年10月21日

因为问一道题:NO.PZ2016032801000040 [ CFA I ]

问题如下:

Townsend was recently appointed to the board of directors of a youth golf program that is the local chapter of a national not-for-profit organization. The program is beginning a new fund-raising campaign to expand the number of annual scholarships it provides. Townsend believes many of her clients make annual donations to charity. The next week in her regular newsletter to all clients, she includes a small section discussing the fundraising campaign and her position on the organization’s board.

选项:

A.

Townsend did not violate the Code and Standards.

B.

Townsend violated the Code and Standards by soliciting donations from her clients through the newsletter.

C.

Townsend violated the Code and Standards by not getting approval of the organization before soliciting her clients.

解释:

A is correct.

Townsend has not provided any information about her clients to the leaders or managers of the golf program; thus, she has not violated Standard III(E) –Preservation of Confidentiality. Providing contact information about her clients for a direct-mail solicitation would have been a violation. Answer B is incorrect because the notice in the newsletter does not violate Standard III(E). Answer C is incorrect because the golf program’s fund-raising campaign had already begun, so discussing the opportunity to donate was appropriate.

因为自己担任董事,就给所有的客户发邮件,不算泄露客户信息吗?相当于用公司客户的信息,给自己的组织使用啊?
1 个答案

Debrah_品职答疑助手 · 2020年10月22日

嗨,努力学习的PZer你好:


现在需要捐钱,T同学觉得他的客户可能是愿意做慈善的。这时其实有两种方法让这个非盈利组织和客户之间联系上,一种是把组织的电话给客户,如果客户有兴趣,可以自行决定要不要跟这个组织联系;另一种是把客户的电话给这个组织,这非盈利组织给他的客户打电话,看客户愿不愿意。

现在他采取的是第一种方法,没有将客户的信息透露给其他人,所以不违反。如果他采取第二种方法,就相当于把客户的信息给了这个非盈利组织,就是泄露了客户信息,这种行为是不可以的。


-------------------------------
虽然现在很辛苦,但努力过的感觉真的很好,加油!


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