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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Roddy · 2020年10月07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.

他怎么没有侵占雇主利益?他侵占了newsletter的空间,并且这条公益广告(姑且这么算吧)可能会引起客户的困扰。如果未经同意就直接发,肯定不行。就好比用品职的公众号向学员发一条募捐广告,难道不需要经过老板的同意?
1 个答案

Debrah_品职答疑助手 · 2020年10月09日

嗨,努力学习的PZer你好:


同学你好,在道德的考试中切忌自己想的太多,newsletter占用了公司的公共资源这个假设,如果要考的话一定会用更多的篇幅描述。同样的,引起客户困扰这个也会在题目中提到。如果这个公司就是T同学创办的且是只有他自己一个基金经理在运作,他自己就是老板,这样也不需要经过老板同意。这也是我们自己假设的。所以不要想那么多。

这道题目,我们关注题干的重点信息是:T工学向顾客定期发送的Regular newsletter,在里面提到了这件担任高尔夫项目的董事会成员,并且披露了他的相关利益,没有违反CFA准则。


-------------------------------
虽然现在很辛苦,但努力过的感觉真的很好,加油!


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