单选题

If an analyst has a policy of making an inquiry into a client's financial situation, investment experience, and investment objectives regularly, this is（）。

A、 a violation of Standard Ⅲ(E), concerning client confidentiality.
B、 a violation of the disclosure requirements of Standard Ⅵ(A).
C、 congruent with Standard Ⅲ(C), Suitability.

【正确答案】 C

【答案解析】

Standard Ⅲ(C) explicitly says that an analyst should make such inquiries and update information regularly. Client confidentiality is addressed in Standard Ⅲ(E) but that is with respect to how the analyst treats the information once it is obtained. Standard Ⅵ(A) addresses the information that an analyst must disclose to his/her employer, clients and prospects.