CFA Practice Question

There are 361 practice questions for this study session.

CFA Practice Question

Craig Pol is an investment analyst. Information was handed to Craig by his client in order to investigate an investment option for future expansion plans for a company. A financier finds out about this information and asks Craig to send him a copy of the information. According to the Standards of Professional Conduct, what should Craig do?
A. He should NOT send the information in order to preserve the confidentiality of his client.
B. He should send the information to the financier and then inform his client.
C. He should send the information to the financier, since in due course the public will see the information anyway.
Explanation: Standard IV (E): Preservation of Confidentiality

Information handed to a member to investigate an investment option for future expansion plans, etc. should clearly not be given to external persons to view, unless the prior permission of the client has been obtained.

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