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王昕彤 · 2024年03月10日

如题

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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.

子公司的职位是工作时间的竞争性岗位,为何接受子公司的职位不需要得到总公司的同意?

1 个答案

王暄_品职助教 · 2024年03月10日

如上图标黄部分所示:Riser直接从分公司拿钱。并不通过总公司。

而且subsidiary是分支机构,决策都是自己做的,所以理论上算是独理个体了。且Riser是因为在Swibank工作才有机会接触到Subsidiary,所以拿工资前必须披露给自己本来的雇主。

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NO.PZ201604030300004701问题如下1. Accorng to the CFA Institute Stanr of ProfessionConct, before accepting the position on the boarof the subsiary, Riser shoulA.receive verbconsent from Swibank.B.receive verbconsent from his clients.C.sclose to his employer the financicompensation proposethe subsiary.C is correct.Accorng to StanrIV(B), members must not accept compensation thcompetes with their employers’ interest unless they obtain written consent from all parties involve Thus Riser must receive written, not verbal, consent from his employer before accepting the position on the subsiary’s boar Accorng to the recommenproceres for compliance, Riser shoulmake immeate written report to his employer specifying the terms of the agreement; the nature of the compensation; the approximate amount of the compensation; anthe ration of the agreement. The Stanr not require thmembers receive permission from clients before accepting boarpositions.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。

2022-07-28 08:01 1 · 回答

老师,请问答案解析的最后一句“The Stanr not require thmembers receive permission from clients before accepting boarpositions.\"是指可以在得到同意之前接受职位吗?

2020-11-11 17:30 1 · 回答

receive verbconsent from his clients. sclose to his employer the financicompensation proposethe subsiary. C is correct. Accorng to StanrIV(B), members must not accept compensation thcompetes with their employers’ interest unless they obtain written consent from all parties involve Thus Riser must receive written, not verbal, consent from his employer before accepting the position on the subsiary’s boar Accorng to the recommenproceres for compliance, Riser shoulmake immeate written report to his employer specifying the terms of the agreement; the nature of the compensation; the approximate amount of the compensation; anthe ration of the agreement. The Stanr not require thmembers receive permission from clients before accepting boarpositions.有利益冲突为什么不需要征求客户同意?不是说需要向客户披露吗

2020-09-20 12:26 1 · 回答

    请问子公司的情况雇主应该知道,为什么还要披露?

2019-04-02 23:45 1 · 回答