Q1. Greg Stiles, CFA, may withhold from CFA Institute information about a client acquired in the regular performance of his duties: A) only if Stiles is a relative of the client. B) only if Stiles has a special confidentiality agreement with the client. C) for neither of the reasons listed.
Q2. 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 the appropriate governmental authorities about the determination. B) There are no exceptions in this list. C) Contact CFA Institute about the determination.
Q3. 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) is appropriate since Stiles keeps the information in the firm. B) is appropriate since Stiles only tells a licensed salesman. C) violates the Standard unless the client asks Stiles to tell the licensed salesman.
Q4. Standard III(E), Preservation of Confidentiality, applies to the information that an analyst learns from: A) current clients, former clients, and prospects. B) current clients and prospects only. C) current clients and former clients only.
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) There are no exceptions in this list. C) Contact the appropriate governmental authorities about the determination.
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发表于 2009-1-12 16:41
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