NO.PZ201604030300004701
问题如下:
1. According to the CFA Institute Standards of Professional Conduct, before accepting the position on the board of the subsidiary, Riser should:
选项:
A.
receive verbal consent from Swibank.
B.
receive verbal consent from his clients.
C.
disclose to his employer the financial compensation proposed by the subsidiary.
解释:
C is correct.
According to Standard IV(B), members must not accept compensation that competes with their employers’ interest unless they obtain written consent from all parties involved. Thus Riser must receive written, not verbal, consent from his employer before accepting the position on the subsidiary’s board. According to the recommended procedures for compliance, Riser should make an immediate written report to his employer specifying the terms of the agreement; the nature of the compensation; the approximate amount of the compensation; and the duration of the agreement. The Standards do not require that members receive permission from clients before accepting board positions.
选c没问题,因为verbal肯定不对。但是他去子公司当领导是总部调过去的,用了request这个词。不是他自己去的或者子公司给他offer。那这些信息总部肯定知道。