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shirley_hd · 2020年07月02日

问一道题：NO.PZ201604030300004306

  1. CFA III
  2. Ethics

* 问题详情，请 查看题干

问题如下：

6. Are the seminar speaker’s Statements 3 and 4, respectively, sufficient to meet the requirements of related CFA Institute Standards?

选项：

Statement 3
Statement 4
A.
No
No
B.
No
Yes
C.
Yes
No

解释：

B is correct.

Statement 3 is incorrect. The disclosure of a conflict should be made — prominently and in plain language — regardless of whether the member views the conflict as material, so the client can determine the materiality of the conflict. Statement 4 is in compliance with CFA Institute Standards. The Mahsud Financial disclosure requirement meets CFA Institute Standards. Gifts from clients should be disclosed to the employer, which is responsible for determining whether the gift could affect the employee’s independence and objectivity.

Statement 4里面，是否对于小额的gift也是可以不披露的，Ethics是否有要求所有收到的gift必须做披露？

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2 个答案
已采纳答案

王暄_品职助教 · 2020年07月02日

嗨，努力学习的PZer你好：


客户给asset manager的gift，都要披露给雇主，如果不披露，则违反I(B) Independence and Objective, 只要披露就不违反I(B)。


-------------------------------
虽然现在很辛苦，但努力过的感觉真的很好，加油！


Ruthlessbaby · 2020年09月18日

小额的视频里说可以不披露啊

圣灵霜子 · 2020年11月12日

客户给的一定要披露 如果是其他方给的 然后又不影响独立客观性的小礼物 可以不披露吧

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NO.PZ201604030300004306 问题如下 6. Are the seminspeaker’s Statements 3 an4, respectively, sufficient to meet the requirements of relateCFA Institute Stanr? Statement 3Statement 4 A.NoNo B.NoYes C.YesNo B is correct.Statement 3 is incorrect. The sclosure of a conflishoulma — prominently anin plain language — regaress of whether the member views the conflimaterial, so the client ctermine the materiality of the conflict. Statement 4 is in complianwith CFA Institute Stanr. The MahsuFinancisclosure requirement meets CFA Institute Stanr. Gifts from clients shoulscloseto the employer, whiis responsible for termining whether the gift coulaffethe employee’s inpennanobjectivity. 人家表述是我现在对于被认定为重大的conflicts应该要做的事情，那确实需要披露啊，那这样做没毛病啊，难道不披露吗？解析扯什么要对所有的conflicts，人家只是问你这句话对不对，又没说其他非重大的conflicts就不披露了，这种考法真的很无语。

2023-07-26 16:34 1 · 回答

NO.PZ201604030300004306问题如下6. Are the seminspeaker’s Statements 3 an4, respectively, sufficient to meet the requirements of relateCFA Institute Stanr?Statement 3Statement 4A.NoNoB.NoYesC.YesNoB is correct.Statement 3 is incorrect. The sclosure of a conflishoulma — prominently anin plain language — regaress of whether the member views the conflimaterial, so the client ctermine the materiality of the conflict. Statement 4 is in complianwith CFA Institute Stanr. The MahsuFinancisclosure requirement meets CFA Institute Stanr. Gifts from clients shoulscloseto the employer, whiis responsible for termining whether the gift coulaffethe employee’s inpennanobjectivity.送analyst小礼物 不披露 奢侈品 不论如何都不可收送asset manager小礼物 不披露奢侈品 披露并获得雇主同意可收，但违反了独立客观性？我想请问，以上披露是指客户还是雇主？不披露是说对任何人都不需要是吗？

2022-03-31 10:07 2 · 回答

NO.PZ201604030300004306 No Yes Yes No B is correct. Statement 3 is incorrect. The sclosure of a conflishoulma — prominently anin plain language — regaress of whether the member views the conflimaterial, so the client ctermine the materiality of the conflict. Statement 4 is in complianwith CFA Institute Stanr. The MahsuFinancisclosure requirement meets CFA Institute Stanr. Gifts from clients shoulscloseto the employer, whiis responsible for termining whether the gift coulaffethe employee’s inpennanobjectivity.老师，客户给的礼物只向雇主披露就可以吗？还需要披露给其他客户吗？谢谢。

2021-09-19 16:15 1 · 回答

NO.PZ201604030300004306 No Yes Yes No B is correct. Statement 3 is incorrect. The sclosure of a conflishoulma — prominently anin plain language — regaress of whether the member views the conflimaterial, so the client ctermine the materiality of the conflict. Statement 4 is in complianwith CFA Institute Stanr. The MahsuFinancisclosure requirement meets CFA Institute Stanr. Gifts from clients shoulscloseto the employer, whiis responsible for termining whether the gift coulaffethe employee’s inpennanobjectivity.statement3错哪了？

2021-08-06 17:09 2 · 回答

NO.PZ201604030300004306 不是收礼物的话一定要雇主同意吗？

2021-05-20 11:35 1 · 回答