Q6. Greg Stiles, CFA, keeps a list of his clients’ birthdays and has personally sent them a birthday card each year at the appropriate time. With respect to this action, which of the following may be a violation of Standard III(E), Preservation of Confidentiality?

A)   Hiring a company outside the firm to perform the task.

B)   Sending a gift along with the card.

C)   The mere act of sending a birthday card each year.

答案和详解如下：

Q6. Greg Stiles, CFA, keeps a list of his clients’ birthdays and has personally sent them a birthday card each year at the appropriate time. With respect to this action, which of the following may be a violation of Standard III(E), Preservation of Confidentiality?

A)   Hiring a company outside the firm to perform the task.

B)   Sending a gift along with the card.

C)   The mere act of sending a birthday card each year.

Correct answer is A)

According to Standard III(E), an analyst should limit the number of persons who have access to clients’ personal information. Allowing a company outside the firm to send birthday cards could be a violation. Sending a birthday card is not a violation, nor is sending a gift of reasonable value.

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