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猫猫酱 · 2020年11月11日

问一道题:NO.PZ2018062009000040 [ CFA II ]

问题如下:

Luna attended a class reunion recently and one of her classmate got cancer, so they wanted to raise money for her classmate. The next week Luna sent a regular email to all clients, including her classmate’s situation and the idea of raising money. Luna most likley:

选项:

A.

did not violate the Code and Standards.

B.

violated the Code and Standards by raising money from his clients.

C.

violated the Code and Standards by not getting approval of his employer before she sent email to clients.

解释:

A is correct.

Luna sent an email about raising money for her classmate which discloused the relationship between her and the classmate to her clients. She also did not provided clients’ informations to her classmate, the donation is voluntary. She did not damage employer’s interest. So, Luna did not violate the Code and Standards.

老师,我分不清单独发邮件和邮件里顺带提一嘴有什么实质性区别?我看你回答其他同学的时候说,后者不违反但前者违反,可我觉得两者没有实质性区别,都需要披露呀?

6 个答案
已采纳答案

王暄_品职助教 · 2020年11月13日

单独发等于利用公司资源,因为你是使用公司的平台特意发一封邮件给客户,这样是不合适的。

 

猫猫酱 · 2020年11月13日

单独发邮件,和发日常邮件时提到了一句,这有什么本质区别吗?

王暄_品职助教 · 2020年11月12日

如果说这个人单独发了一个邮件直接的目的就是募捐,那这种情况属于违反准则的情况,需要得到雇主同意

猫猫酱 · 2020年11月12日

老师能回答我一下吗?

猫猫酱 · 2020年11月11日

那如果他特意为此事发一个email呢?

王暄_品职助教 · 2020年11月11日

嗨,努力学习的PZer你好:


这里我没有看见有助教的回答涉及顺带提一嘴或单独发邮件的回复。

同学可以发链接给我看

 

这题的点在于是否泄露客户信息 or 得到雇主同意

首先同学不是客户,不存在泄露客户信息。(那如果是这个人把自己客户的联系方式给了他的同学,那么就是泄露了客户的信息,这样就违反准则)

其次就是这个人是Send a regular email,属于定期和客户联系的email。他在Email里提到了募捐的情况,所以也不存在泄露客户信息。这也不许要得到雇主的同意(因为不会损害雇主利益,募捐都是自愿的,他只是提供一个消息)


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就算太阳没有迎着我们而来,我们正在朝着它而去,加油!


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NO.PZ2018062009000040 问题如下 Luna attena class reunion recently anone of her classmate got cancer, so they wanteto raise money for her classmate. The next week Luna sent a regulemail to all clients, inclung her classmate’s situation anthe ia of raising money. Luna most likley: A.not violate the Co anStanr. B.violatethe Co anStanr raising money from his clients. C.violatethe Co anStanr not getting approvof his employer before she sent email to clients. A is correct.Luna sent email about raising money for her classmate whisclousethe relationship between her anthe classmate to her clients. She also not proviclients’ informations to her classmate, the nation is voluntary. She not mage employer’s interest. So, Luna not violate the Co anStanr.Luna给自己的客户发送邮件,说明了募集资金的事情,并且披露了她和她同学的关系。Luna没有提供自己客户的信息给她的同学,且捐赠属于自愿性行为。Luna也没有损害雇主的利益,所以她没有违反准则的规定。 我不理解。为什么这里就不需要经过客户同意就可以发邮件告诉所有人这个客户的私事

2023-08-31 07:36 1 · 回答

violatethe Co anStanr raising money from his clients. violatethe Co anStanr not getting approvof his employer before she sent email to clients. A is correct. Luna sent email about raising money for her classmate whisclousethe relationship between her anthe classmate to her clients. She also not proviclients’ informations to her classmate, the nation is voluntary. She not mage employer’s interest. So, Luna not violate the Co anStanr. Luna给自己的客户发送邮件,说明了募集资金的事情,并且披露了她和她同学的关系。Luna没有提供自己客户的信息给她的同学,且捐赠属于自愿性行为。Luna也没有损害雇主的利益,所以她没有违反准则的规定。 虽然是regulemail,但是还是利用了公司资源(客户名单)去做了和本职工作无关的事情,如果这个信息是发在socimea上的就ok,但是利用公司资源也不违反,我就无法理解了。

2021-02-05 20:21 1 · 回答

C的应该更好啊!先得到雇主同意在发邮件众筹

2019-11-14 04:12 1 · 回答

    老师,如果说她发的邮件是有针对性的发,比如只是发给了vip客户这种情况,算是违反吗?

2019-11-09 11:38 1 · 回答