标题: Reading 1- LOS B-Q2 [打印本页]
作者: cfaedu 时间: 2008-3-31 21:47 标题: [2008] Session 1-Reading 1- LOS B-Q2
Did Johnson violate the Code and Standards by the way he gathered information from Campbell using the personal data form?
A) | Yes, because he failed to collect the information during face-to-face contact. |
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B) | Yes, because he permitted his assistant who does not hold the CFA designation to see this confidential information. |
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C) | No, he did not violate the Code and Standards by the way he gathered information. |
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D) | Yes, because he mailed the form to Campbell instead of presenting it to her in person. |
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作者: cfaedu 时间: 2008-3-31 21:47
The correct answer was C
There is no provision that would prohibit Johnson from gathering information through the mail,nor is there a provision prohibiting employees of an investing management firm from working with confidential client information.
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