[单选题]

Byron Bell, CFA, is an investment manager for Sally Fillmore, president of the local branch of First Bank. Fillmore, in a conversation with Bell's trading assistant, mentions that she is considering moving her account to another investment manager and confides that she has been diagnosed with the early signs of Alzheimer's disease. The trading assistant relays the conversation to Bell. According to the CFA Institute Code and Standards, the trading assistant is:

A.Not in violation of any Standard.

B.In violation of the Standard concerning preservation of confidentiality by disclosing confidential client information.

C.In violation of the Standard concerning loyalty,prudence,and care by putting her employer's interests before the client's.

参考答案与解析:

相关试题

Antonio Mendoza, CFA, is an investment manager in private practice under the name Mendoza Investment

[单选题]Antonio Mendoza, CFA, is an investment manager in private practice under th

  • 查看答案
  • Sally Albright, CFA, works full time for Frank & Company, an investment management firm, as a fi

    [单选题]Sally Albright, CFA, works full time for Frank & Company, an investment man

  • 查看答案
  • Charles Mbuwanga, a Level Ⅲ CFA candidate, is the business development manager for Sokoza Investment

    [单选题]Charles Mbuwanga, a Level Ⅲ CFA candidate, is the business development mana

  • 查看答案
  • Robert Miguel, CFA, is a portfolio manager for a large investment advisory firm. In appreciation of

    [单选题]Robert Miguel, CFA, is a portfolio manager for a large investment advisory

  • 查看答案
  • Anna Cheung, CFA, the marketing director at First Financials, plans to be a leading investment advis

    [单选题]Anna Cheung, CFA, the marketing director at First Financials, plans to be a

  • 查看答案
  • Zhang Zhong, CFA, is a portfolio manager in a large investment management company. He discovers that

    [单选题]Zhang Zhong, CFA, is a portfolio manager in a large investment management c

  • 查看答案
  • Jennifer Ducumon, CFA, is a portfolio manager for high-net-worth individuals at Northeast Investment

    [单选题]Jennifer Ducumon, CFA, is a portfolio manager for high-net-worth individual

  • 查看答案
  • Jennifer Ducumon, CFA, is a portfolio manager for high-net-worth individuals at Northeast Investment

    [单选题]Jennifer Ducumon, CFA, is a portfolio manager for high-net-worth individual

  • 查看答案
  • Will Hunter, CFA, is a portfolio manager at NV Asset Managers. An investment banker asks Hunter to p

    [单选题]Will Hunter, CFA, is a portfolio manager at NV Asset Managers. An investmen

  • 查看答案
  • Lin Liang, CFA, is an investment manager and an auto industry expert. Last month, Liang sent securit

    [单选题]Lin Liang, CFA, is an investment manager and an auto industry expert. Last

  • 查看答案
  • Byron Bell, CFA, is an investment manager for Sally Fillmore, president of the local branch of First