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.
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.
suitability.
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.
如果是ETHICS的我肯定毫不犹豫选保密了。为什么一定不是suitablity的问题呢。就是charity个人的和endowment的肯定不一样,也会有suitability的问题,这个也是ethics的范畴啊