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| Charlie, a CFA member who works in the AXA security company as a broker has lots of information of their clients. James is one of his clients, who is the manager in the index company. They both have a client to exchange the security index. James ask Charlie to show that Client’s material to him because he lost some information when he fixed up his computer. Charlie only gave him the basic information but it is still hard to find from the public. Does this activity violate the standard? A: Yes, violate the material non-public information B:Yes, violate the duty to client C:Yes, both violate the duty to client and the material non-information |
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