Reading 1- LOS A - Q15 black, class

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15、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.

B)   Yes, because he permitted his assistant who does not hold the CFA designation to see this confidential information.

C)   No, he did not violate the Code and Standards by the way he gathered information.

D)   Yes, because he mailed the form to Campbell instead of presenting it to her in person.

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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.