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cherry · 2021年03月05日

这道题里面的hard to buy 以及famous都表示这个票的贵重,何老师明确说过票类都是贵重,不管披不披露都不应收

NO.PZ2016032802000002

问题如下:

Beth Brown, CFA, was a portfolio manager of Cherry Investment. Recently, she received two tickets of a famous concert from her client Tony which are hard to buy. Tony just wanted to express the gratitude for the excess income he got from the portfolio. Beth accepted the tickets without disclosing this to her employer. Beth most likely:

选项:

A.

violated the standards by failing to disclose the tickets to her employer.

B.

complied with the standards because this was what she deserved.

C.

violated the standards by accepting the tickets.

解释:

A is correct.

According to Standard I(B) Independence and Objectivity, Beth could accept the tickets as long as she disclosed this to her employer in advance.

个人觉得C 最准确,而且我记得何老师说如果你给顾客投的好,顾客答谢就收礼物,那还会违反other compensation 问题,而且雇主也不开心
1 个答案

王暄_品职助教 · 2021年03月05日

嗨,爱思考的PZer你好:


同学注意,本题的主人公是一名manager,而不是analyst。


作为分析师:

上市公司给的一般性的礼物可以收,并且不需要披露。

贵重的礼物,一律不能收,披露也不行。

 

作为manager:

客户给的任何礼物都需要披露给雇主(当然有的公司如果有要求,例如100美金一下可以不用披露,那就遵守公司规定,不用披露)



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就算太阳没有迎着我们而来,我们正在朝着它而去,加油!

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相关问题

NO.PZ2016032802000002 问题如下 Beth Brown, CFwa portfolio manager of Cherry Investment. Recently, she receivetwo tickets of a famous concert from her client Tony whiare harto buy. Tony just wanteto express the gratitu for the excess income he got from the portfolio. Beth acceptethe tickets without sclosing this to her employer. Beth most likely: A.violatethe stanr failing to sclose the tickets to her employer. B.compliewith the stanr because this wwhshe serve C.violatethe stanr accepting the tickets. A is correct.Accorng to StanrI(InpennanObjectivity, Beth coulaccept the tickets long she sclosethis to her employer in aance.同学注意本题的主人公是一名portfolio manager,所以是可以收客户奖励的贵重礼物。这里再次给同学们明确analyst及portfolio manager收礼的规则作为分析师上市公司给的一般性礼物可以收,并不需要披露上市公司给的贵重礼物,一律不能收,披露也不行。因为从外人的角度看来,上市公司在影响你的独理客观性。作为Portfolio Manager客户给的任何礼物都需要披露给雇主并收到了雇主同意才能收。(当然有的公司如果有要求,例如100美金以下可以不用披露,那就遵守公司规定,不用披露) 请问雇主的同意一定要是书面同意吗

2022-10-30 20:52 1 · 回答

NO.PZ2016032802000002 如果portfolio manager收了客户A的礼物 这件事情让该protfolio manager手下管理的其他客户BC道了 这件事不会让其他客户怀疑这个portfolio manager的独立客观性么?比如以后下单优先给客户A先下这种?我记得何老师上课讲如果收礼物这件事会让别人怀疑你的独立客观性 就是不能收的,还是说怀疑独立客观性这个衡量标准只适用于analyst?那portfolio manager如果收了礼物被其他客户怀疑独立客观性也不算违背I(B)么?

2021-11-17 15:26 2 · 回答

compliewith the stanr because this wwhshe serve violatethe stanr accepting the tickets. A is correct. Accorng to StanrI(InpennanObjectivity, Beth coulaccept the tickets long she sclosethis to her employer in aance. 何老师不是说只要是门票就不能收吗

2020-07-28 06:28 1 · 回答

compliewith the stanr because this wwhshe serve violatethe stanr accepting the tickets. A is correct. Accorng to StanrI(InpennanObjectivity, Beth coulaccept the tickets long she sclosethis to her employer in aance.C不是违反IVB嘛?和这个A违反IB不都是违反嘛?

2020-07-27 20:24 1 · 回答