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红豆生南国 · 2020年05月27日

问一道题: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.

请老师翻译一下这道题目

1 个答案

王暄_品职助教 · 2020年05月27日

嗨,努力学习的PZer你好:


Tribe Zhang, CFA是一名财富经理。他的一名高净值客户Pee告诉他:现在他的人工智能公司因为虚假财务信息正在接受调查。刚好Tribe的朋友Melo最近正在为Pee的公司准备上市,Tribe于是将此信息透露给Melo,还让Melo停止帮助Pee的公司上市。请问Tribe是否违反了CFA准则?


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