标题: Ethics - preservation of confidentiality [打印本页] 作者: metoyoushe 时间: 2011-7-13 16:51 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: studyn 时间: 2011-7-13 16:51
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: marsilni 时间: 2011-7-13 16:51
but in one of the question -it does say that going to general council is wrong - what is general council?作者: suyash1989 时间: 2011-7-13 16:51
Probably your friends and family作者: burnsy562000 时间: 2011-7-13 16:51
If in doubt whether the activity is illegal, seek legal counsel for advice.
If activity is indeed illegal, tell supervisor and disassociate.作者: FVPV 时间: 2011-7-13 16:51
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
