问题 单项选择题

Lynn Moody is an investment officer at the Lester Trust Company (LTC). If a current or former client of LTC has not permitted the disclosure of confidential information and disclosure of clients' confidential information does not conflict with local law, which of the following statements is most accurate According to the Professional Conduct Standards, a member will breach his duties by disclosing confidential client information that relates to:()

A. an individual client who ended the client relationship with LTC ten years ago.

B. illegal activities on the part of an individual who is a current client of LTC.

C. information requested by the CFA Institute Professional Conduct Program during the course of an investigation into that member's conduct by designed officer.

答案

参考答案:A

解析:

在任何情况下都要保守过去、当前、潜在客户的秘密,除非属于以下的4个例外情况:法律上要求公开,客户允许公开,包含非法行为及接受CFA协会调查。即使当地法律没有限制披露客户的保密信息,会员或考生也应该遵守专业行为标准更加严格地保守客户的秘密。

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