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Jiarong · 2021年10月08日

与讲义内容不符

NO.PZ2016032802000034

问题如下:

Tribe Zhang, CFA, is a portfolio manager. One of his rich clients Pee told Tribe that he was so upset that his company, which produced artificial intelligence robot, was under investigation for the fictitious financial statements. Coincidentally, Tribe’s friend Melo was recently preparing for the listing of Pee’s company. So, Tribe quickly informed Melo about this investigation to stop Pee’s company going public. Did Tribe violate the Code and Standards?

选项:

A.

Yes, because he failed to keep the confidentiality of his client's information.

B.

Yes, because he didn't report to the proper authorities about this fictitious financial statements.

C.

No.

解释:

A is correct.

According to Standard III(E) Preservation of Confidentiality, Tribe mustn’t tell this information to his friend although this is an illegal activity. He could only disclose this to the proper authorities if required.

讲义第200页说为客户信息保密除了以下几种情况,其中包含信息中包含违法活动,这题包含了违法活动,但是还是不能透露,请问包含违法活动但是能透露的是哪种情况?或者说能透露给谁?
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已采纳答案

王暄_品职助教 · 2021年10月08日

因为本题是透露给Triber的朋友的,即便透露这件事,也是要透露给调查违法活动的相关政府部门,而非自己的朋友。


违法的活动可以透露给的是调查相关事件的政府执行机构;

并且例外的例外就是当地部门规定,即便有违法活动也要保密到底,那么连政府机构都不能透露(但这种情况近些年基本不会再有)

Jiarong · 2021年10月09日

谢谢

ziduozhixia · 2021年10月18日

B哪里错了呢

王暄_品职助教 · 2021年10月18日

B哪里错了呢

B在说他没有向正确的执法机构反馈,CFA准则并不要求member主动向执法机构回报。

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