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徐威廉 · 2019年11月14日

问一道题:NO.PZ2018062009000004 [ CFA I ]

问题如下图:

选项:

A.

B.

C.

解释:C为什么违反了ethic,经理已经披露给了雇主并且得到了allow啊?为什么还错?

1 个答案
已采纳答案

包包_品职助教 · 2019年11月15日

嗨,努力学习的PZer你好:


这个主要是看送礼物的目的。

如果送礼的目的是为了答谢,比如客户为了感谢基金经理给自己投资投的比较好,那么这个礼物就属于additional compensation,只要收到雇主的书面同意就可以收

如果送礼的目的是为了影响独立客观性,比如客户送礼是为了让基金经理在投资的时候更偏向她的账户一点,那这个礼物就是影响独立客观性的礼物,即使收到了雇主的书面同意也不能收

 


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NO.PZ2018062009000004 问题如下 Whiof the followings most likely violatethe Co anStanr recommenthe CFA Institute? A.Manager shoulnot sclose informations receivefrom clients without permission unless requirelaw. B.Manager cmake investment conclusion analyzing public information annon-materinonpublic information C.long the manager sena written report to the employer whitails any gifts from clients, the manager is alloweto accept the gifts. C is correct.A complies with StanrIII(E) Preservation of Confintiality. B is so callemosaic theory, whiis not a violation of the stanr sclose any gifts from clients to the employer is requirein StanrI(InpennanObjectivity. However, luxury gifts mhave effects on manager's inpennanobjectivity. Therefore, only token items caccepteA符合准则III(E)的规定。B是马赛克理论,因此也未违反准则的规定。准则I(B)规定,CFA会员应当向雇主披露任何客户赠予的礼物,但是非常奢侈的礼物可能会影响财富经理的独立客观性,因此只能收取一般性的礼物。 怎么这里又说昂贵礼物不能接受啊

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    请问a这么理解对吗?除非法律要求,在没有得到批准的情况下,不需要披露客户送礼的信息怎么样理解是对的呢?

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