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次第花开 · 2020年10月20日

问一道题：NO.PZ201604030300004206

  1. CFA III
  2. Ethics

* 问题详情，请 查看题干

问题如下：

6. Does Nano’s draft compliance policy statement conform to the CFA Institute Code and Standards with respect to:

选项：

violations?
compensation?
A.
No
No
B.
No
Yes
C.
Yes
No

解释：

A is correct.

The Standards require that the supervisor promptly initiate an investigation to ascertain the extent of the violation and should take steps to ensure that violations will not be repeated by limiting or monitoring the employees’ activities. The Standards also require that members and candidates obtain written permission from their employer before accepting any compensation or benefits from third parties that may create a conflict of interest.

这题答案是不是有错误？看之前的解答，compensation的statement是正确的

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2 个答案

Debrah_品职答疑助手 · 2020年10月21日

嗨，爱思考的PZer你好：


补充一下，虽然公司的要求更加严格，但是和CFA要求的思路不一致。有时候更严格不一定更好。所以不能说是”conform to"


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Debrah_品职答疑助手 · 2020年10月21日

嗨，从没放弃的小努力你好：


同学你好，IV（B）的要求是，No gifts, benefits, compensation or consideration are to be accepted which may create a conflict of interest with the employer’s interest unless written consent is received from all parties。所以只有跟本职工作相关的，可能会create a conflict of interest的，才是additional compensation。这个题目说的是“All”，这个和CFA协会的要求不一致。

如果有其他的题目有异议，你可以再提问，我们讨论。


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