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梦理实 · 2022年01月22日

这道题目翻译解释下,不太能理解,另外知识点在那边

NO.PZ2018062009000074

问题如下:

Q. Based on the Conflicts of Interest standard, members and candidates must:

选项:

A.

disclose, as required by law, those conflicts interfering with their professional duties.

B.

disclose, as appropriate, any benefit paid to others for the recommendation of products.

C.

seek employer approval before prioritizing their investment transactions over those clients.

解释:

B is correct. The VI.C Referral Fees section of the Conflicts of Interest standard requires members and candidates to disclose to their employer, clients, and prospective clients, as appropriate, any compensation, consideration, or benefit received from or paid to others for the recommendation of products or services.

A is incorrect because the VI.A Disclosure of Conflicts section of the Conflicts of Interest standard requires members and candidates to make full and fair disclosure of all matters (not limited to legal requirements) that could reasonably be expected to impair their independence and objectivity or interfere with respective duties to their clients, prospective clients, and employer.

C is incorrect because the VI.B Priority of Transactions section of the Conflicts of Interest standard requires members and candidates to give priority to investment transactions for clients and employers versus those in which a member or candidate is the beneficial owner. This requirement is not waived by an employer’s approval.

不太了解知识点在那边。
1 个答案

王暄_品职助教 · 2022年01月22日

这题的知识点就是很基础的关于【第六大条准则Conflicts of Interest】中关于referreal fee里的定义,关于利益冲突,首先是disclse,但是并不是required by law。

同学请看下方基础班截图:


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