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xxxxsdadas · 2021年02月05日

问一道题:NO.PZ2018062009000040 [ CFA II ]

问题如下:

Luna attended a class reunion recently and one of her classmate got cancer, so they wanted to raise money for her classmate. The next week Luna sent a regular email to all clients, including her classmate’s situation and the idea of raising money. Luna most likley:

选项:

A.

did not violate the Code and Standards.

B.

violated the Code and Standards by raising money from his clients.

C.

violated the Code and Standards by not getting approval of his employer before she sent email to clients.

解释:

A is correct.

Luna sent an email about raising money for her classmate which discloused the relationship between her and the classmate to her clients. She also did not provided clients’ informations to her classmate, the donation is voluntary. She did not damage employer’s interest. So, Luna did not violate the Code and Standards.

Luna给自己的客户发送邮件,说明了募集资金的事情,并且披露了她和她同学的关系。Luna没有提供自己客户的信息给她的同学,且捐赠属于自愿性行为。Luna也没有损害雇主的利益,所以她没有违反准则的规定。

虽然是regular email,但是还是利用了公司资源(客户名单)去做了和本职工作无关的事情,如果这个信息是发在social media上的就ok,但是利用公司资源也不违反,我就无法理解了。
1 个答案
已采纳答案

王暄_品职助教 · 2021年02月06日

首先我们确定,Luna确实没有损害雇主的利益没有披露客户的信息。

其次,Luna是在send regular email的时候,最后包括这个消息,问问客户愿不愿意募捐。如果Luna单独发了一封邮件,特意说募捐的事儿,我们尚且可以怀疑是否利用了工作时间做私事。所以这里Luna没有违反CFA准则

其实CFA准则并没有像同学说的,这么过分限制基金经理的行为。这是允许的。只要准则里没有禁止做的,基金经理是可以做的,其实准则是很人性化的,并没有很刻板。

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NO.PZ2018062009000040 问题如下 Luna attena class reunion recently anone of her classmate got cancer, so they wanteto raise money for her classmate. The next week Luna sent a regulemail to all clients, inclung her classmate’s situation anthe ia of raising money. Luna most likley: A.not violate the Co anStanr. B.violatethe Co anStanr raising money from his clients. C.violatethe Co anStanr not getting approvof his employer before she sent email to clients. A is correct.Luna sent email about raising money for her classmate whisclousethe relationship between her anthe classmate to her clients. She also not proviclients’ informations to her classmate, the nation is voluntary. She not mage employer’s interest. So, Luna not violate the Co anStanr.Luna给自己的客户发送邮件,说明了募集资金的事情,并且披露了她和她同学的关系。Luna没有提供自己客户的信息给她的同学,且捐赠属于自愿性行为。Luna也没有损害雇主的利益,所以她没有违反准则的规定。 我不理解。为什么这里就不需要经过客户同意就可以发邮件告诉所有人这个客户的私事

2023-08-31 07:36 1 · 回答

violatethe Co anStanr raising money from his clients. violatethe Co anStanr not getting approvof his employer before she sent email to clients. A is correct. Luna sent email about raising money for her classmate whisclousethe relationship between her anthe classmate to her clients. She also not proviclients’ informations to her classmate, the nation is voluntary. She not mage employer’s interest. So, Luna not violate the Co anStanr. 老师,我分不清单独发邮件和邮件里顺带提一嘴有什么实质性区别?我看你回答其他同学的时候说,后者不违反但前者违反,可我觉得两者没有实质性区别,都需要披露呀?

2020-11-11 14:10 6 · 回答

C的应该更好啊!先得到雇主同意在发邮件众筹

2019-11-14 04:12 1 · 回答

    老师,如果说她发的邮件是有针对性的发,比如只是发给了vip客户这种情况,算是违反吗?

2019-11-09 11:38 1 · 回答