问题 单项选择题

Lynn Moody, CFA, is an investment officer at the Lester Trust Company. Moody also volunteers on a fund-raising committee for a local nonprofit organization with the purpose of environment protection. Moody sees the name of David Bradford, a former client of her company on the list of prospective new donors. Without disclosing that Bradford was a former client, Moody tells the committee that Bradford has donated generously to similar nonprofit organizations. Has Moody most likely violated the Standards of Professional Conduct

A. No.
B. Yes, relating to disclosure of conflicts.
C. Yes, relating to preservation of confidentiality.

答案

参考答案:C

解析: Moody披露了过去客户Bradford的信息,违反了保守客户秘密的条款,但并不涉及利益冲突的披露。

单项选择题 A1/A2型题
多项选择题