According to Standards of practice handbook, a member who is an investment manager is least likely to breach his duty to clients by: A: disclosing confidential candidate information to the CFA Institute Professional Conduct Program B: using client brokerage to purchase goods or services that are used in investment decision-making process
答案是B； 但是课本67明确写" The requirements of Standards IIIE (Preservation of Confidentiality) are not intended to prevent members and candidates from cooperating with an investigation by the CFA institute Professional Conduct Program. When permissible under applicable law members and candidates shall consider the PCP an extension of themselves when requested to provide information about a client in support of a PCP investimgation into their own conduct.
发表于 2009-5-17 21:51
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