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猫猫酱 · 2020年11月11日

问一道题:NO.PZ2018062009000031 [ CFA II ]

问题如下:

Cliff was invited to give a speech at an important financial conference, the host of the event is an investment manager who recently carrys on business with Cliff's firm. To show high respect for the speakers, the host firm provided Cliff with free conference registration for his wife and arranged for fancy seafood dinner at the local lavish restaurant after the conference. Which of the following statements is the most appropriate?

选项:

A.

Cliff can not accept the invitation because the free conference registration for his wife and the seafood dinner will violate Standard I(B).

B.

Cliff can not accept the invitation because the seafood dinner will violate Standard I(B).

C.

Cliff can accept the invitation thoroughly.

解释:

A is correct.

Based on Standard I(B) Independence and Objectivity, members and candidates must maintain their independence and objectivity. The free conference registration for Cliff's wife and the fancy seafood dinner do not have direct relation with the speaking engagement, and can be regarded as inducements that affect his independence and objectivity. If Cliff accepts the invitation, he will violate Standard I(B).

老师,这道题哪里看出来cliff是个researcher或者analyst,而不是manager呢?

5 个答案
已采纳答案

王暄_品职助教 · 2020年11月12日

“可老师上课时说,如果是manager,高端商务宴请处于礼貌不能马上回绝,事后disclose给雇主即可,而如果是analyst则什么都不能接受。 ”

是的你说的没错,关于高端赴宴是事先不知道的情况下,所以只能先接受晚宴,然后披露。

但是,这题题目中明显提到的是 To show high respect for the speakers,the host firm provided Cliff with free conference registration for his wife and arranged for fancy seafood dinner at the local lavish restaurant after the conference这里说的是host为Cliff和妻子提供了conference registration且给他们安排ancy seafood dinner,是些都属于事先就告诉了Cliff,并不是说把Cliff领到了餐馆门口,然后再告诉他的。

而且本题的选项里,并没有披露这个选项,所以为了选择一个最正确的,我们就选择A

王暄_品职助教 · 2020年11月12日

“可老师上课时说,如果是manager,高端商务宴请处于礼貌不能马上回绝,事后disclose给雇主即可,而如果是analyst则什么都不能接受。 ”

是的你说的没错,关于高端赴宴是事先不知道的情况下,所以只能先接受晚宴,然后披露。

但是,这题题目中明显提到的是 To show high respect for the speakers,the host firm provided Cliff with free conference registration for his wife and arranged for fancy seafood dinner at the local lavish restaurant after the conference这里说的是host为Cliff和妻子提供了conference registration且给他们安排ancy seafood dinner,是些都属于事先就告诉了Cliff,并不是说把Cliff领到了餐馆门口,然后再告诉他的。

而且本题的选项里,并没有披露这个选项,所以为了选择一个最正确的,我们就选择A

 

猫猫酱 · 2020年11月12日

老师我又追问了,能回答我一下吗?

猫猫酱 · 2020年11月11日

可老师上课时说,如果是manager,高端商务宴请处于礼貌不能马上回绝,事后disclose给雇主即可,而如果是analyst则什么都不能接受。

王暄_品职助教 · 2020年11月11日

嗨,爱思考的PZer你好:


这里无论是analyst也好,manager也罢,会议的主办方(Investment manager)是和Cliff公司有商务往来的。而Investment manager为Cliff及他的家人提供了这些奢侈的安排,如果接受了,并事后被人们知道,那么他人会质疑他做出的决定(如果是analyst那么会质疑他的推荐的股票。如果是manager,那么会质疑他做出的投资决策)


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虽然现在很辛苦,但努力过的感觉真的很好,加油!