CFA Practice Question

CFA Practice Question

The CFA Institute Professional Conduct Program is investigating possible violations by Rene Gonzalez in his dealings with client Mary Higgins. Gonzalez provides confidential Higgins data to the CFA Institute Professional Conduct Program. Has Gonzalez violated the Standards?
A. No.
B. Yes
C. No, if only the data shows that he did not commit any violations in his dealings with Higgins.
Explanation: He can't disclose client data in such circumstances.

User Contributed Comments 4

User Comment
Clude Only when CLIENT is suspected to commit illegal activity will CFA member turn in confidential info.
Mikehuynh Tricky question
moneyguy Yeah, they kind of set us up here...
GBolt93 Entrapment! But in all seriousness wouldn't the CFA institute not ask for the data if it directly violated their own standards?
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