问题如下图：
选项：
A. 
B. 
C. 
解释：
关于收到客户的奖励或者报酬，讲义上说可能违反addtional compensation arrangement和independence and objectivity两条，只要披露，就不违反后者，但是必须征得雇主同意，才不违反前者。
本题里征求雇主同意能算作是披露？当然本题当中也没有选项提到违反independence。
我的问题是：如果有违反independence的这个选项，是否违反。
感谢解答。
发亮_品职助教 · 2018年06月05日
如果要收客户的奖励，一定要在收之前，就向雇主披露，并且要得到雇主的书面同意之后，才可以收。
客户的奖励向雇主披露就可以了，向雇主披露后，雇主就有足够的信息，可以以公司的角度判断，这种额外的报酬是否会影响独立客观性，是否会影响其他顾客等等。
如果雇主同意让你接受客户的奖励，就说明雇主认为这种报酬对你来说是OK的，不会影响你的独立客观性，fair dealing等。
仅从题干，没有任何关于independence and objectivity的信息；
这道题给的信息不足，没有办法判断是否违反了independence；
如果题目额外加了信息，比如说，由于这种奖励的存在，基金经理对这个顾客的账户特别上心，而忽视了其他客户的账户。这时候，一定是违反independence的。
做道德的题目，判断的角度一定是从题干给的信息，一般就是字面解读题干的信息，不做延伸；否则容易多想判断错误。
NO.PZ2016032801000013 问题如下 Jurgen is a portfolio manager. One of her firm’s clients htolJurgen thhe will compensate her beyonthe compensation proviher firm on the basis of the capitappreciation of his portfolio eayear. Jurgen shoul A.Turn wn the aitioncompensation because it will result in conflicts with the interests of other clients’ accounts. B.Turn wn the aitioncompensation because it will create une pressure on her to achieve strong short-term performance. C.Obtain permission from her employer prior to accepting the compensation arrangement. C is correct.This question involves StanrIV(–AitionCompensation Arrangements. The arrangement scribein the question — whereJurgen woulcompensatebeyonthe compensation proviher firm, on the basis of account’s performan — is not a violation of the Stanr long Jurgen scloses the arrangement in writing to her employer anobtains permission from her employer prior to entering into the arrangement. Answers A anB are incorrect; although the private compensation arrangement coulconfliwith the interests of other clients anleto short-term performanpressures, members ancantes menter into suagreements long they have sclosethe arrangements to their employer anobtainepermission for the arrangement from their employer. 知道是C，但是A也貌似有道理，可以说一下A哪里不准确吗？谢谢。
NO.PZ2016032801000013问题如下 Jurgen is a portfolio manager. One of her firm’s clients htolJurgen thhe will compensate her beyonthe compensation proviher firm on the basis of the capitappreciation of his portfolio eayear. Jurgen shoulA.Turn wn the aitioncompensation because it will result in conflicts with the interests of other clients’ accounts.B.Turn wn the aitioncompensation because it will create une pressure on her to achieve strong short-term performance.C.Obtain permission from her employer prior to accepting the compensation arrangement.C is correct.This question involves StanrIV(–AitionCompensation Arrangements. The arrangement scribein the question — whereJurgen woulcompensatebeyonthe compensation proviher firm, on the basis of account’s performan — is not a violation of the Stanr long Jurgen scloses the arrangement in writing to her employer anobtains permission from her employer prior to entering into the arrangement. Answers A anB are incorrect; although the private compensation arrangement coulconfliwith the interests of other clients anleto short-term performanpressures, members ancantes menter into suagreements long they have sclosethe arrangements to their employer anobtainepermission for the arrangement from their employer.permission是书面同意吗？
Turn wn the aitioncompensation because it will create une pressure on her to achieve strong short-term performance. Obtain permission from her employer prior to accepting the compensation arrangement. C is correct. This question involves StanrIV(–AitionCompensation Arrangements. The arrangement scribein the question — whereJurgen woulcompensatebeyonthe compensation proviher firm, on the basis of account’s performan— is not a violation of the Stanr long Jurgen scloses the arrangement in writing to her employer anobtains permission from her employer prior to entering into the arrangement. Answers A anB are incorrect; although the private compensation arrangement coulconfliwith the interests of other clients anleto short-term performanpressures, members ancantes menter into suagreements long they have sclosethe arrangements to their employer anobtainepermission for the arrangement from their employer. 老师题目中并没有说funmanager已经披露了额外激励的自信，那么是不是可以判定他可能违反独立客观性呢？如果他收的不是aitioncompensation而是很贵的礼物奖励，是不是也是只要上司同意就可以收？
这道题是什么意思呢 不太明白
这个属于事前的礼物吧？事前礼物不可以收吧？会影响独立客观性？