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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良爱洳 · 2020年09月15日

问一道题:NO.PZ2016040303000040 [ CFA III ]

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.

没太看明白 能否解析一下题干的意思 以及为什么没违反准则?
2 个答案
已采纳答案

王暄_品职助教 · 2020年09月17日

嗨,努力学习的PZer你好:


我简单概述一下题干的意思:Townsend是当地一家非营利性机构的BOD,最近这家机构在募集资金当助学金。Townsend自己本身的职业是投资经理,她知道自己有几位客户会做慈善捐赠。于是下周,当她结束她给客户的日常讲座的后,她单独召集了自己的一小批做慈善的客户,和他们说了她所在的非营利性机构募集资金的事儿(也就是希望他们可以捐点钱)

如果说,Townsend直接把客户的信息给到非营利性机构,那么就没有对客户信息进行保密,那么就是违反了III(E)。可是本题描述的Townsedn召集了自己的客户,告知他们募集资金的事儿,是可以的。


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努力的时光都是限量版,加油!


王暄_品职助教 · 2020年09月17日

嗨,从没放弃的小努力你好:


我简单概述一下题干的意思:Townsend是当地一家非营利性机构的BOD,最近这家机构在募集资金当助学金。Townsend自己本身的职业是投资经理,她知道自己有几位客户会做慈善捐赠。于是下周,当她结束她给客户的日常讲座的后,她单独召集了自己的一小批做慈善的客户,和他们说了她所在的非营利性机构募集资金的事儿(也就是希望他们可以捐点钱)

如果说,Townsend直接把客户的信息给到非营利性机构,那么就没有对客户信息进行保密,那么就是违反了III(E)。可是本题描述的Townsedn召集了自己的客户,告知他们募集资金的事儿,是可以的。


-------------------------------
就算太阳没有迎着我们而来,我们正在朝着它而去,加油!


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