标题: L1 09 mock 道德一题 [打印本页]
作者: arabdopsis1 时间: 2009-5-17 21:51 标题: L1 09 mock 道德一题
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.
请指教； 多谢！
作者: zncdwyx 时间: 2009-5-20 17:22
这道题目我也不是很清楚 感觉A选项也对 估计 可能是说只有在investigation的时候才可以disclose to the PCP吧？我也不是很确定
作者: zyystein 时间: 2009-5-25 10:30
当PCP要求的时候，才能disclose
作者: sjyzq 时间: 2009-5-28 09:28
这题我也错了，这题感觉不严密，没事谁有病啊，跑到pcp去公开信息。如果要个人yy的去加很多限制，B也可能是错的啊，买的报告不是用于给这个客户的投资决定！
作者: bartzzr 时间: 2009-5-28 21:39
我和lz错的一样
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