开发者:上海品职教育科技有限公司 隐私政策详情

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Junqi · 2020年08月26日

问一道题:NO.PZ2016032802000011

问题如下:

If the CFA Institute Professional Conduct Program (PCP) wants to investigate Kate and her colleagues, and all of them are CFA Institute's members. Which of the following statements is least likely correct?

选项:

A.

Kate is encouraged to cooperate with the investigation into the behavior of her colleagues.

B.

Kate cannot forward the confidential information to the PCP.

C.

Sharing confidential information to the PCP when required is not a violation of the standards.

解释:

B is correct.

According to Standard III(E) Preservation of Confidentiality, members and candidates must support PCP to survey their own behaviors, and be encouraged to work with the investigations into the conduct of others. Sharing confidential information to the PCP when required is not a violation of the standards.

如果law规定不允许提供的情况下,也必须因为配合提供confidential的信息么。跟何老师上课时讲的不太一致。麻烦解答一下

1 个答案

王暄_品职助教 · 2020年08月27日

嗨,从没放弃的小努力你好:


1. 同学说的是III(E)里关于客户涉及违法情况的规定:

  • 如果客户有违法行为我们可以不保密,但也保密不算你错。
  • 但如果当地的法律明文规定:即使客户有违法行为,你也不可以披露客户信息,那么就不可以披露客户信息。

2. 但这题说的是III(E)中guidance的一个小小点,关于CFA被PCP调查后,应该怎么做。本题中,PCP去调查Kate和她的同事,并没有涉及客户。所以根据CFA准则,是鼓励他们积极配合的,即使涉及思密信息也没问题。请看下图基础班讲义:


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