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金融民工阿聪 · 2022年08月01日

关于A

NO.PZ2016040303000040

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.

Answer 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.

客户捐款的话,不是会导致雇主的AUM下降么..这不算利益冲突么

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王暄_品职助教 · 2022年08月02日

客户完全可以拿自己其他的钱捐款,客户并不是把所有家当都放入雇主这里了。

而且即便客户取钱去捐款,这也是客户自愿的,很正常的社会现象,不会违背对雇主的忠诚。

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