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lz523 · 2024年07月24日

如果是捐献者可以提供吗?

NO.PZ2016040303000005

问题如下:

Bronson provides investment advice to the board of trustees of a private university endowment fund. The trustees have provided Bronson with the fund’s financial information, including planned expenditures. Bronson receives a phone call on Friday afternoon from Murdock, a prominent alumnus, requesting that Bronson fax him comprehensive financial information about the fund. According to Murdock, he has a potential contributor but needs the information that day to close the deal and cannot contact any of the trustees. Based on the CFA Institute Standards, Bronson should:

选项:

A.

Send Murdock the information because disclosure would benefit the client.

B.

Not send Murdock the information to preserve confidentiality.

C.

Send Murdock the information, provided Bronson promptly notifies the trustees.

解释:

B  is correct.

This question relates to Standard III(A) –Loyalty, Prudence, and Care and Standard III(E) –Preservation of Confidentiality. In this case, the member manages funds of a private endowment. Clients, who are, in this case, the trustees of the fund, must place some trust in members and candidates. Bronson cannot disclose confidential financial information to anyone without the permission of the fund, regardless of whether the disclosure may benefit the fund. Therefore, answer A is incorrect. Answer C is incorrect because Bronson must notify the fund and obtain the fund’s permission before publicizing the information.

这道题目前说的是潜在的捐献者不能给提供信息

如果是已经捐了钱的,是不是就算这个endowment的利益相关者就可以讲了呢

1 个答案

王暄_品职助教 · 2024年07月24日

嗨,从没放弃的小努力你好:


即使某人已经向该捐赠基金捐了钱,这并不意味着他们自动成为可以接收所有机密财务信息的利益相关者。在决定是否分享此类信息时,关键仍然是要遵循CFA协会的道德准则,特别是关于保密性的规定。

在这种情况下,即使某人已经捐款,Bronson仍然需要谨慎行事,并尊重与基金信托人之间的保密协议。如果捐款人请求财务信息,Bronson应该首先咨询信托人,以确定是否可以分享这些信息,以及分享多少信息。

因此,即使某人已经捐款,也不意味着可以随意向他们透露机密财务信息。正确的做法仍然是先获得基金信托人的许可,再决定是否分享信息。所以,即使对于已经捐款的利益相关者,Bronson也不能未经许可就透露机密财务信息。

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努力的时光都是限量版,加油!

lz523 · 2024年07月24日

好的 谢谢 我记得老师上课讲的好像养老金基金的时候说我的客户其实不是雇佣我的董事会而是公司的员工 应该对他们负责 所以我就以为这个也是同样的道理 所以应该就可以提供

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NO.PZ2016040303000005 Not senMurthe information to preserve confintiality. SenMurthe information, proviBronson promptly notifies the trustees. B  is correct. This question relates to StanrIII(–Loyalty, Prunce, anCare anStanrIII(E) –Preservation of Confintiality. In this case, the member manages fun of a private enwment. Clients, who are, in this case, the trustees of the fun must plasome trust in members ancantes. Bronson cannot sclose confintifinanciinformation to anyone without the permission of the fun regaress of whether the sclosure mbenefit the fun Therefore, answer A is incorrect. Answer C is incorrebecause Bronson must notify the funanobtain the funs permission before publicizing the information.这道题目没有看懂,能帮我详细一下吗?谢谢

2022-06-11 17:33 1 · 回答

NO.PZ2016040303000005 问题如下 Bronson provis investment aito the boarof trustees of a private university enwment fun The trustees have proviBronson with the funs financiinformation, inclung planneexpentures. Bronson receives a phone call on Friy afternoon from Murck, a prominent alumnus, requesting thBronson fhim comprehensive financiinformation about the fun Accorng to Murck, he ha potenticontributor but nee the information thy to close the ancannot contaany of the trustees. Baseon the CFA Institute Stanr, Bronson shoul A.SenMurthe information because sclosure woulbenefit the client. B.Not senMurthe information to preserve confintiality. C.SenMurthe information, proviBronson promptly notifies the trustees. is correct.This question relates to StanrIII(–Loyalty, Prunce, anCare anStanrIII(E) –Preservation of Confintiality. In this case, the member manages fun of a private enwment. Clients, who are, in this case, the trustees of the fun must plasome trust in members ancantes. Bronson cannot sclose confintifinanciinformation to anyone without the permission of the fun regaress of whether the sclosure mbenefit the fun Therefore, answer A is incorrect. Answer C is incorrebecause Bronson must notify the funanobtain the funs permission before publicizing the information. 所以说一般来说,基金经理需要为客户保密,但是如果客户自己同意披露,就可以披露出来?

2022-04-27 15:29 1 · 回答

Accorng to Murck, he ha potenticontributor but nee the information thy to close the ancannot contaany of the trustees. 这句话能详细一下吗? 不是很懂

2020-04-21 16:53 1 · 回答

为什么提供的这些信息算是涉密呢?只是spenng expentures而已啊,不是客户名单啊

2020-03-12 17:23 1 · 回答