问一道题：NO.PZ201604030300004206 第6小题 [ CFA III ]

* 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?

Yes

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.

compensation这一条错究竟是错在“all”（不是所有compensation都要披露，与工作无关的捡垃圾收入不用披露）还是错在“只discuss不够，没有取得雇主的书面同意”？

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已采纳答案

Debrah_品职答疑助手 · 2020年11月14日

是

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Debrah_品职答疑助手 · 2020年11月11日

嗨，爱思考的PZer你好：

协会完整的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。

因此最佳做法肯定是所有涉及利益冲突的compensation都要获得书面同意。

另外，这个题目里错的不是修饰Staff members的all，而是员工没有必要披露全部outside compensation或者潜在compensation。

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努力的时光都是限量版，加油！

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圣灵霜子 · 2020年11月11日

所以是两点都错了的意思吗？

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

2020-10-20 16:33 2 · 回答

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.老师这道题Violations部分能否下原因？

2020-06-14 19:27 1 · 回答

问一道题：NO.PZ201604030300004206 第6小题 [ CFA III ]

2 个答案

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