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wsheu · 2024年11月10日

这一题出自handbook的哪里?12版的吗?课上讲到了吗?谢谢

NO.PZ2024022002000227

问题如下:

In a scenario where an employee from a notable investment company discloses client-specific data to the CFA Institute amid an ethics investigation, counter to legal mandates on privacy, does this action conflict with the ethical guidelines?

选项:

A.Not at all.

B.Yes, infringing upon the fair dealing ethical guideline.

C.Yes, infringing upon the guideline concerning legal compliance.

解释:

Option C is undeniably accurate. Standard I (A), Knowledge of the Law, mandates professionals to be fully aware and compliant with all governing laws and regulations regarding their conduct. Given that the law explicitly prohibits such disclosure of client information, revealing such data without legal permission directly contravenes this standard, signifying a clear breach of ethical obligations as outlined by the CFA Institute.

这一题出自handbook的哪里?12版的吗?课上讲到了吗?谢谢

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王暄_品职助教 · 2024年11月10日

您好,这个题目考察的主要是III(E)保密性,如果当地政府不允许我们披露客户资料,那么我们一定不可以披露,因此本题中,这个人披露了客户资料是不可以的。这个考点课上讲到过。

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