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luckygrace · 2024年05月10日

请问哪里提到额外报酬了?

NO.PZ2023021602000060

问题如下:

Jefferson Piedmont, CFA, a portfolio manager for Park Investments, plans to manage the portfolios of several family members in exchange for a percentage of each portfolio's profits. Because his family members have extensive portfolios requiring substantial attention, they have requested that Piedmont provide the services outside of his employment with Park. Piedmont notifies his employer in writing of his prospective outside employment. Two weeks later, Piedmont begins managing the family members' portfolios. By managing these portfolios, which of the following CFA Institute Standards of Professional Conduct has Piedmont violated?

选项:

A.Conflicts of Interest

B.Additional Compensation

C.Both Additional Compensation and Conflicts of Interest

解释:

According to Standard IV(B) and Standard VI(A), members should disclose all potential conflicts of interest, should disclose the substantial time involved in managing family accounts and, when engaging in independent practice for compensation, should not render services until receiving written consent from all parties.

请问哪里提到额外报酬了?怎么能看出来违反这一条

1 个答案
已采纳答案

王暄_品职助教 · 2024年05月10日

然问题描述中没有直接提到“额外报酬”这四个字,但我们可以从Piedmont的行为中推断出这一点。Piedmont计划以每个投资组合利润的一定百分比作为管理家庭成员投资组合的报酬,这构成了除其在Park Investments的正常工资之外的额外报酬

Standard VI(A) 要求会员在从事独立执业以获取报酬时,必须事先获得所有相关方的书面同意。在这个案例中,虽然Piedmont通知了他的雇主他打算从事外部工作,但问题描述中并没有提到他获得了雇主的书面同意来进行这种外部活动并接受额外报酬。