开发者:上海品职教育科技有限公司 隐私政策详情

应用版本:4.2.11(IOS)|3.2.5(安卓)APP下载

zhy · 2018年10月28日

问一道题:NO.PZ2016032802000043 [ CFA I ]

题中没有说明Tribe disclose to his employer,是不是也违反了 VI(C)?

问题如下图:

    

选项:

A.

B.

C.

解释:



1 个答案

品职辅导员_小明 · 2018年10月30日

L公司披露了这个合作内容给他的客户,这个客户是指L公司从D同学那里获得的 ,所以没有违反 VI(C)

472121 · 2019年10月23日

但是TD同学是违反了IV(a)对么?TD应该跟公司披露取得同意的是吗??

  • 1

    回答
  • 0

    关注
  • 483

    浏览
相关问题

NO.PZ2016032802000043 问题如下 Trish, a portfolio manager in ve Company. Recently, he establishes a cooperation with asset management company calleLemon. The cooperation states thif he cintropotenticlients to Lemon, it cgive ve business in return. Lemon then scloses this cooperation in the report to his clients long they receive clients from Tribe. Accorng to the information, whiof the following statements is most likely correct? A.Lemon en't violate the Co anStanr. B.Lemon violates the Co anStanr sclosing this cooperation to the clients. C.Lemon violates the Co anStanr establishing this cooperation. A is correct.Accorng to StanrVI(ReferrFees, Lemon complies with this stanr When Lemon receives the clients, he will write a report to sclose this cooperation in aance. 1、不是应该在建立合作之前就批露吗?那都收到客户了,才批露,不晚吗 ?没看到题目哪里体现出提前的?2、Trish违反了吗?

2024-08-13 23:23 1 · 回答

NO.PZ2016032802000043问题如下 Trish, a portfolio manager in ve Company. Recently, he establishes a cooperation with asset management company calleLemon. The cooperation states thif he cintropotenticlients to Lemon, it cgive ve business in return. Lemon then scloses this cooperation in the report to his clients long they receive clients from Tribe. Accorng to the information, whiof the following statements is most likely correct?A.Lemon en't violate the Co anStanr.B.Lemon violates the Co anStanr sclosing this cooperation to the clients.C.Lemon violates the Co anStanr establishing this cooperation.A is correct.Accorng to StanrVI(ReferrFees, Lemon complies with this stanr When Lemon receives the clients, he will write a report to sclose this cooperation in aance.​成立的新公司算不算同业竞争关系,推荐客户需要向雇主披露并取得同意不

2024-07-06 19:50 1 · 回答

NO.PZ2016032802000043 问题如下 Trish, a portfolio manager in ve Company. Recently, he establishes a cooperation with asset management company calleLemon. The cooperation states thif he cintropotenticlients to Lemon, it cgive ve business in return. Lemon then scloses this cooperation in the report to his clients long they receive clients from Tribe. Accorng to the information, whiof the following statements is most likely correct? A.Lemon en't violate the Co anStanr. B.Lemon violates the Co anStanr sclosing this cooperation to the clients. C.Lemon violates the Co anStanr establishing this cooperation. A is correct.Accorng to StanrVI(ReferrFees, Lemon complies with this stanr When Lemon receives the clients, he will write a report to sclose this cooperation in aance. 题干中Lemon then scloses this cooperation in the report to his clients long they receive clients from Tribe,不应该是提前披露吗,答案解析中也是说“in aance”,怎么理解其中的差别,谢谢。

2023-03-30 04:55 1 · 回答

NO.PZ2016032802000043 问题如下 Trish, a portfolio manager in ve Company. Recently, he establishes a cooperation with asset management company calleLemon. The cooperation states thif he cintropotenticlients to Lemon, it cgive ve business in return. Lemon then scloses this cooperation in the report to his clients long they receive clients from Tribe. Accorng to the information, whiof the following statements is most likely correct? A.Lemon en't violate the Co anStanr. B.Lemon violates the Co anStanr sclosing this cooperation to the clients. C.Lemon violates the Co anStanr establishing this cooperation. A is correct.Accorng to StanrVI(ReferrFees, Lemon complies with this stanr When Lemon receives the clients, he will write a report to sclose this cooperation in aance. 介绍费应该披露给client,prospective client以及employer,这道题虽然没有关于 Tribe需要披露给她的employer,但是Lemon这家公司应该披露给client,prospective client,题目只说了披露给来自Tribe介绍的客户。没有披露给所有相关方啊

2022-05-10 20:45 1 · 回答

NO.PZ2016032802000043 想到confintiality这一条里面说不能透露客户信息,连客户的名字都不能泄露,这里怎么理解呢?

2021-05-16 21:56 2 · 回答