NO.PZ2018062009000005
问题如下:
Mary, a fund manager of Planet Charity, received a phone call from her friend, John, about his hard working on local golf club activities. John says, “Mary, your clients are generous and warm-hearted people. I know you have to comply with confidentiality standard for you current clients. However, there are people who are no longer you clients. Will you give me nothing but some names of these former clients? I will find their contact information by myself.” What should Mary do under the Code and Standards of CFA institute?
选项:
A.Names are not confidential information, therefore Mary can give the name list of her current and former clients.
B.Mary must not give names of former clients without their permission.
C.Mary is allowed to give information about her former clients as they are no longer under her management.
解释:
B is correct.
Standard III(E) Preservation of confidentiality requires to protect the confidentiality of client information even if the person is no longer a client of the manager. If a former client authorizes to disclose information, then manager may follow the terms of the authorization and provide the information. Name list is also confidential information.
准则III(E)要求CFA会员对客户的任何信息进行保密,即使某人已不再是其客户也要保密到底。但如果曾经的客户允许财富经理公开其信息,则财富经理可以根据要求披露信息。且客户名单也属于应当保密的信息。
是雇主的还是客户的?我觉得应该是雇主的 permission啊