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

小黑龙 · 2019年04月28日

问一道题:NO.PZ2016040301000004

这道题为什么不选B?问题如下图:

    

选项:

A.

B.

C.

解释:



1 个答案

包包_品职助教 · 2019年04月29日

同学你好,这道题目是让选出明显和standars 有冲突的一个选项。

B选项说所以员工的个人投资交易都应该得到事先允许,这个是standards 鼓励的而不是与standards 冲突。

  • 1

    回答
  • 1

    关注
  • 592

    浏览
相关问题

Prior approvmust obtainefor the personinvestment transactions of all employees. For confintiality reasons, persontransactions anholngs shoulnot reporteto employers unless manteregulatory organizations. C is correct. This question asks about complianproceres relating to personinvestments of members ancantes. The statement in answer C clearly conflicts with the recommenproceres in the Stanr of PractiHanook. Employers shoulcompare persontransactions of employees with those of clients on a regulbasis regaress of the existenof a requirement any regulatory organization. Sucomparisons ensure themployees’ persontras not confliwith their ty to their clients, anthe comparisons cconctein a confintimanner. The statement in answer A es not confliwith the proceres in the Hanook. sclosure of supolicies will give full information to clients regarng potenticonflicts of interest on the part of those entrusteto manage their money. Answer B is incorrebecause firms are encourageto establish policies whereemployees cletheir personholngs antransactions with their employers. 问一下C为什么不符合准则?

2020-11-28 08:09 1 · 回答

Prior approvmust obtainefor the personinvestment transactions of all employees. For confintiality reasons, persontransactions anholngs shoulnot reporteto employers unless manteregulatory organizations. C is correct. This question asks about complianproceres relating to personinvestments of members ancantes. The statement in answer C clearly conflicts with the recommenproceres in the Stanr of PractiHanook. Employers shoulcompare persontransactions of employees with those of clients on a regulbasis regaress of the existenof a requirement any regulatory organization. Sucomparisons ensure themployees’ persontras not confliwith their ty to their clients, anthe comparisons cconctein a confintimanner. The statement in answer A es not confliwith the proceres in the Hanook. sclosure of supolicies will give full information to clients regarng potenticonflicts of interest on the part of those entrusteto manage their money. Answer B is incorrebecause firms are encourageto establish policies whereemployees cletheir personholngs antransactions with their employers. 这道题中文讲解下,谢谢

2020-10-08 10:27 1 · 回答

Prior approvmust obtainefor the personinvestment transactions of all employees. For confintiality reasons, persontransactions anholngs shoulnot reporteto employers unless manteregulatory organizations. C is correct. This question asks about complianproceres relating to personinvestments of members ancantes. The statement in answer C clearly conflicts with the recommenproceres in the Stanr of PractiHanook. Employers shoulcompare persontransactions of employees with those of clients on a regulbasis regaress of the existenof a requirement any regulatory organization. Sucomparisons ensure themployees’ persontras not confliwith their ty to their clients, anthe comparisons cconctein a confintimanner. The statement in answer A es not confliwith the proceres in the Hanook. sclosure of supolicies will give full information to clients regarng potenticonflicts of interest on the part of those entrusteto manage their money. Answer B is incorrebecause firms are encourageto establish policies whereemployees cletheir personholngs antransactions with their employers. 老师请问,这题是在哪条准则下的呢?

2020-10-08 08:06 1 · 回答

    接着上面同学的问题 ,老师给的答案协会推荐的做法是CFA会员、考生应该建议公司制定关于员工购买股票相关规则的正式文件。如果文件规定了所有员工都需要披露。那么所有员工都要遵守。且这个正式文件成为了applicable regulatory requirements。如果不遵守的话,不但违反了StanrVI(Priority of transactions,还违反了Loyalty to employer。因为Loyalty to employer里规定了CFA会员、考生要遵守公司的相关规定。想请问这里是协会建议考生去制定相关政策,似乎和本题的答案不直接相关,我的问题是假如 不披露transactions 是否有有违反条款。看了原题的也不是很明白

2019-05-22 00:45 1 · 回答