问题 单项选择题

While servicing his clients’ accounts, an analyst 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. Contact CFA Institute about the determination.

C. There are no exceptions in this list.

答案

参考答案:C

解析:

Standard Ⅲ(E) allows an analyst to reveal information about a client to CFA Institute since CFA Institute will keep the information confidential. If the analyst is reasonably certain a law has been violated, an analyst may have an obligation to report the activities to the appropriate authorities. Therefore, none of the listed actions are exceptions from the analyst’s options.

填空题
单项选择题 A1型题