NO.PZ2016032802000043
问题如下:
Tribe Dish, a portfolio manager in Dove Company. Recently, he establishes a cooperation with an asset management company called Lemon. The cooperation states that if he can introduce potential clients to Lemon, it can give Dove business in return. Lemon then discloses this cooperation in the report to his clients as long as they receive clients from Tribe. According to the information, which of the following statements is most likely correct?
选项:
A.Lemon doen't violate the Code and Standards.
B.Lemon violates the Code and Standards by disclosing this cooperation to the clients.
C.Lemon violates the Code and Standards by establishing this cooperation.
解释:
A is correct.
According to Standard VI(C) Referral Fees, Lemon complies with this standard. When Lemon receives the clients, he will write a report to disclose this cooperation in advance.
介绍费应该披露给client,prospective client以及employer,这道题虽然没有选项关于 Tribe需要披露给她的employer,但是Lemon这家公司应该披露给client,prospective client,题目只说了披露给来自Tribe介绍的客户。没有披露给所有相关方啊