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徐威廉 · 2021年08月06日

statement3

  1. CFA III
  2. Ethics

* 问题详情，请 查看题干

NO.PZ201604030300004306

问题如下：

6. Are the seminar speaker’s Statements 3 and 4, respectively, sufficient to meet the requirements of related CFA Institute Standards?

选项：

Statement 3
Statement 4

A.

No
No

B.

No
Yes

C.

Yes
No

解释：

B is correct.

Statement 3 is incorrect. The disclosure of a conflict should be made — prominently and in plain language — regardless of whether the member views the conflict as material, so the client can determine the materiality of the conflict. Statement 4 is in compliance with CFA Institute Standards. The Mahsud Financial disclosure requirement meets CFA Institute Standards. Gifts from clients should be disclosed to the employer, which is responsible for determining whether the gift could affect the employee’s independence and objectivity.

statement3错哪了？
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王暄_品职助教 · 2021年08月07日

Statement 3里提到：For situations in which conflicts of interest cannot be avoided, Mahsud Financial's written compliance policy should include the following component: "For unavoidable conflicts of interest that the employee judges to be material, employees must disclose the conflicts of interest to clients prominently, and in plain language."

而我们的要求是，无论这个利益冲突是否material，都需要披露


cika · 2023年01月23日

Statement 3是披露给客户的，不是说与客户之间，小礼物可以收并且不用披露，大礼物不能收么。怎么又变成所有的利益都要纰漏了

王暄_品职助教 · 2023年01月24日

Statement 3是披露给客户的，不是说与客户之间，小礼物可以收并且不用披露，大礼物不能收么。怎么又变成所有的利益都要纰漏了

Statement 3说的不是礼物的问题，是利益冲突，这里的说的只有严重的利益冲突菜才需要披露，而协会的要求，是无论是否material都要披露。

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NO.PZ201604030300004306 问题如下 6. Are the seminspeaker’s Statements 3 an4, respectively, sufficient to meet the requirements of relateCFA Institute Stanr? Statement 3Statement 4 A.NoNo B.NoYes C.YesNo 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. 人家表述是我现在对于被认定为重大的conflicts应该要做的事情，那确实需要披露啊，那这样做没毛病啊，难道不披露吗？解析扯什么要对所有的conflicts，人家只是问你这句话对不对，又没说其他非重大的conflicts就不披露了，这种考法真的很无语。

2023-07-26 16:34 1 · 回答

NO.PZ201604030300004306问题如下6. Are the seminspeaker’s Statements 3 an4, respectively, sufficient to meet the requirements of relateCFA Institute Stanr?Statement 3Statement 4A.NoNoB.NoYesC.YesNoB 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.送analyst小礼物 不披露 奢侈品 不论如何都不可收送asset manager小礼物 不披露奢侈品 披露并获得雇主同意可收，但违反了独立客观性？我想请问，以上披露是指客户还是雇主？不披露是说对任何人都不需要是吗？

2022-03-31 10:07 2 · 回答

NO.PZ201604030300004306 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，客户给的礼物只向雇主披露就可以吗？还需要披露给其他客户吗？谢谢。

2021-09-19 16:15 1 · 回答

NO.PZ201604030300004306 不是收礼物的话一定要雇主同意吗？

2021-05-20 11:35 1 · 回答