问题如下:
Jurgen is a portfolio manager. One of her firm’s clients has told Jurgen that he will compensate her beyond the compensation provided by her firm on the basis of the capital appreciation of his portfolio each year. Jurgen should:
选项:
A. Turn down the additional compensation because it will result in conflicts with the interests of other clients’ accounts.
B. Turn down the additional compensation because it will create undue pressure on her to achieve strong short-term performance.
C. Obtain permission from her employer prior to accepting the compensation arrangement.
解释:
C is correct.
This question involves Standard IV(B) –Additional Compensation Arrangements. The arrangement described in the questionwhereby Jurgen would be compensated beyond the compensation provided by her firm, on the basis of an account’s performanceis not a violation of the Standards as long as Jurgen discloses the arrangement in writing to her employer and obtains permission from her employer prior to entering into the arrangement. Answers A and B are incorrect; although the private compensation arrangement could conflict with the interests of other clients and lead to short-term performance pressures, members and candidates may enter into such agreements as long as they have disclosed the arrangements to their employer and obtained permission for the arrangement from their employer.
老师题目中并没有说fund manager已经披露了额外激励的自信,那么是不是可以判定他可能违反独立客观性呢?如果他收的不是additional compensation而是很贵的礼物奖励,是不是也是只要上司同意就可以收?