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Basic Question 1 of 8
Ben Thomas is the investment advisor for Hannah Green, who informs Thomas that for the coming year she would like to donate $50,000 charitable organizations that help children. Thomas is also a director for Children's Benefit Worldwide (CBW), which is conducting a fund raising campaign to help bring clean drinking water to children in Africa. Thomas tells Henry Jackson - who is running the fund raising campaign - about Green's charitable plans and suggests that he contact her. Thomas does not reveal to Jackson the amount Green wants to donate. Which of the following is correct?
B. Thomas has violated client confidentiality whereas Jackson has not committed any violation.
C. Thomas has violated client confidentiality whereas Jackson has engaged in misconduct.
A. Thomas has not violated client confidentiality.
B. Thomas has violated client confidentiality whereas Jackson has not committed any violation.
C. Thomas has violated client confidentiality whereas Jackson has engaged in misconduct.
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I was very pleased with your notes and question bank. I especially like the mock exams because it helped to pull everything together.
Martin Rockenfeldt
Learning Outcome Statements
evaluate practices, policies, and conduct relative to the CFA Institute Code of Ethics and Standards of Professional Conduct;
explain how the practices, policies, and conduct do or do not violate the CFA Institute Code of Ethics and Standards of Professional Conduct.
CFA® 2024 Level II Curriculum, Volume 6, Module 49.