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410140980 · 2022年05月10日

referral fees

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

1 个答案

王暄_品职助教 · 2022年05月11日

这已经足够了呀,

所谓利益相关方,从来没有定死,不同的case有不同的利益相关方,不是说每个CASE的利益相关方都包括客户,潜在客户,雇主

这里tribe给介绍的客户才是最重要需要被披露的人,其他潜在客户跟这件事没关系

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