标题: Ethics preservation of confidentiality [打印本页] 作者: former 时间: 2013-4-8 19:31 标题: Ethics preservation of confidentiality
Can anyone please confirm what I understand.
If a member comes to know that a client is doing illegal activity
He should
go compliance department to see if the activity is illegal
THEN
Go to supervisor and tell him
THEN
Both can go to outside / legal council
at no point there is a need to go to GENERAL council作者: wizofoz 时间: 2013-4-8 19:32
CFAI reading does not refer to any specific order, just saying “when in doubt,… should consult with their employer’s compliance personnel or outside counsel”作者: Matori 时间: 2013-4-8 19:32
but in one of the question it does say that going to general council is wrong what is general council?作者: ohai 时间: 2013-4-8 19:33
you mean General Counsel, the chief lawyer of the company.
CFAI standard of practice has an example where the employee going to the general counsel for advice for further advice, so there is no rule about NOT going to the general counsel. (samuel casey example 3)
May be you can put the text of whole case for us?作者: spreads 时间: 2013-4-8 19:33
Probably your friends and family作者: tikfed 时间: 2013-4-8 19:33
If in doubt whether the activity is illegal, seek legal counsel for advice.
If activity is indeed illegal, tell supervisor and disassociate.作者: CFA4Techie 时间: 2013-4-8 19:34
I think of it as this way, if you actvity is illegal,
1) consult the COMPLIANCE dept
2) if illegal or no response..report it to supervisor….
3) if no response…dissociate from the work unless something is done
4) if no response….Resign
Not sure where thew legal counsel comes from!!
