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努力奋斗小小张 · 2021年06月22日

问一道题:NO.PZ2018062009000003 [ CFA II ]

问题如下:

Carter is a financial analyst in Alpha Investment. He is asked to write a report about the Beta Group, which belongs to one of Alpha's shareholders. What should Carter do based on Standard VI(A) Disclosure of Conflicts?

选项:

A.

Carter should reject the request of writing report about Beta as the special relationship between Alpha and Beta.

B.

Carter can write facts about the Beta Group, but not allow to state his opinion.

C.

Carter can write the report as long as fully disclose the relationship between Alpha Investment and the Beta Group.

解释:

C is correct.

According to Standard VI(A) Disclosure of Conflicts, members must fully disclose to clients and prospects all actual and potential conflicts of interest to protect investors. Therefore, as long as the special relationship between Alpha Investment and the Beta Group is disclosed, Carter can write this report.

根据VI(A)的规定,CFA会员必须对客户及潜在客户完全披露各种利益冲突。因此,只要Alpha Investment与Beat Group之间的利益关系被完全且真实的披露,Carter就可以写此报告。

直接拒绝不是也可以吗

2 个答案

王暄_品职助教 · 2022年01月09日

是不是可以换个角度理解,因为是公司与公司层面的利益冲突,即使她拒绝写,那Alpha公司也还是会找其他员工写,还是避免不了利益冲突。所以A不是最佳?

是的,你这个角度理解的非常好,所以没必要拒绝写。

王暄_品职助教 · 2021年06月22日

直接拒绝不是最好的选项,因为根据CFA的要求我们可以写,只要完全披露即可,而不应该直接拒绝不写,这样也不利于人际关系。

欢欢 · 2022年01月09日

是不是可以换个角度理解,因为是公司与公司层面的利益冲突,即使她拒绝写,那Alpha公司也还是会找其他员工写,还是避免不了利益冲突。所以A不是最佳?

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NO.PZ2018062009000003 问题如下 Carter is a financianalyst in Alpha Investment. He is asketo write a report about the Beta Group, whibelongs to one of Alpha's shareholrs. WhshoulCarter baseon StanrVI(sclosure of Conflicts? A.Carter shoulrejethe request of writing report about Beta the specirelationship between Alpha anBet B.Carter cwrite facts about the Beta Group, but not allow to state his opinion. C.Carter cwrite the report long fully sclose the relationship between Alpha Investment anthe Beta Group. C is correct.Accorng to StanrVI(sclosure of Conflicts, members must fully sclose to clients anprospects all actuanpotenticonflicts of interest to proteinvestors. Therefore, long the specirelationship between Alpha Investment anthe Beta Group is sclose Carter cwrite this report.根据VI(A)的规定,CFA会员必须对客户及潜在客户完全披露各种利益冲突。因此,只要Alpha Investment与BeGroup之间的利益关系被完全且真实的披露,Carter就可以写此报告。 老师能不能帮我整理一下一般只要披露了利益关系就OK 可以写自己的观点在披露的基础上最好放进Restrictelist只写事实?这是更保守的方法?什么时候不止披露还要加进Restrictelist呢

2022-05-03 07:18 1 · 回答

Carter cwrite facts about the Beta Group, but not allow to state his opinion. Carter cwrite the report long fully sclose the relationship between Alpha Investment anthe Beta Group. C is correct. Accorng to StanrVI(sclosure of Conflicts, members must fully sclose to clients anprospects all actuanpotenticonflicts of interest to proteinvestors. Therefore, long the specirelationship between Alpha Investment anthe Beta Group is sclose Carter cwrite this report.利益冲突这几道题也只是显示在利益冲突里面,或者题目点了利益冲突。我才能知道选择要披露,而不是不发表意见。放在整体里面,一大套题,肯定就觉得是独立客观,选择不能表示意见了…………这两点到底区别在哪儿?

2020-10-25 09:59 1 · 回答

对于这类型问题,是不是无论列入restrictelist 与否,都必须披露,我原以为列入list就不纳入研究范围,即没必要披露了

2020-03-29 13:45 1 · 回答

感觉BC都对,不知道B错在了哪里。    

2019-03-14 14:21 1 · 回答