Q1. Greg Stiles, CFA, CAIA, has recently liquidated most of a client’s portfolio because the client is planning to buy a house. Stiles informs one of the brokers in his office who has his real estate license about the plans of his client. With respect to Standard III(E), Preservation of Confidentiality, this action: A) violates the Standard unless the client asks Stiles to tell the licensed salesman. B) is appropriate since Stiles keeps the information in the firm. C) is appropriate since Stiles only tells a licensed salesman.
Q2. Greg Stiles, CFA, may withhold from CFA Institute information about a client acquired in the regular performance of his duties: A) for neither of the reasons listed. B) only if Stiles is a relative of the client. C) only if Stiles has a special confidentiality agreement with the client.
Q3. Standard III(E), Preservation of Confidentiality, applies to the information that an analyst learns from: A) current clients and prospects only. B) current clients and former clients only. C) current clients, former clients, and prospects.
Q4. While servicing his clients’ accounts, an analyst who is a CFA charterholder, determines that one client is probably involved in illegal activities. According to Standard III(E), Preservation of Confidentiality, the analyst may NOT do which of the following? A) Contact CFA Institute about the determination. B) Contact the appropriate governmental authorities about the determination. C) There are no exceptions in this list.
Q5. While servicing his clients’ accounts, an analyst who is a CFA charterholder, determines that one client is probably involved in illegal activities. According to Standard III(E), Preservation of Confidentiality, the analyst may NOT do which of the following? A) Contact CFA Institute about the determination. B) Both contact CFA Institute and governmental authorities. C) There are no exceptions in this list.
[此贴子已经被作者于2009-1-9 15:58:03编辑过] | 
发表于 2009-1-8 15:41
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