Brenden Morrow, CFA, is unclear regarding the criteria that must be met regarding preservation of confidential client information. Under which of the following circumstances would Morrow not be required to preserve confidential information received from a client()
A. CFA Institute has asked for information in reference to an investigation by the Professional Conduct Program.
B. The information would affect the company’s stock price.
C. A relationship of trust has been established.
参考答案:A
解析:
Standard Ⅲ (E)—There is no such confidentiality requirement regarding the effect on the firm’s stock price per share-but it is possible that any matters affecting the stock price may also be confidential! Members will not be violating their duty under Standard Ⅲ (E) Preservation of Confidentiality, by forwarding confidential information to the CFA Institute PCP.