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ditto · 2023年10月16日

A错在了哪里

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.

有conflict of interest 要disclose ,看了答案解释还是没有明白A错在了哪里

1 个答案
已采纳答案

王暄_品职助教 · 2023年10月17日

错在【required by law】,这不是法律要求的,还是协会自己制定的准则

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NO.PZ2018062009000074问题如下 Q. Baseon the Conflicts of Interest stanr members ancantes must: A.sclose, requirelaw, those conflicts interfering with their professionties.B.sclose, appropriate, any benefit paito others for the recommention of procts.C.seek employer approvbefore prioritizing their investment transactions over those clients. B is correct. The VI.C ReferrFees section of the Conflicts of Interest stanrrequires members ancantes to sclose to their employer, clients, anprospective clients, appropriate, any compensation, consiration, or benefit receivefrom or paito others for the recommention of procts or services.A is incorrebecause the VI.A sclosure of Conflicts section of the Conflicts of Interest stanrrequires members ancantes to make full anfair sclosure of all matters (not limiteto legrequirements) thcoulreasonably expecteto impair their inpennanobjectivity or interfere with respective ties to their clients, prospective clients, anemployer.C is incorrebecause the VI.B Priority of Transactions section of the Conflicts of Interest stanrrequires members ancantes to give priority to investment transactions for clients anemployers versus those in whia member or cante is the beneficiowner. This requirement is not waiveemployer’s approval. b啥意思,请下

2023-10-27 19:51 1 · 回答

NO.PZ2018062009000074 sclose, appropriate, any benefit paito others for the recommention of procts. seek employer approvbefore prioritizing their investment transactions over those clients. B is correct. The VI.C ReferrFees section of the Conflicts of Interest stanrrequires members ancantes to sclose to their employer, clients, anprospective clients, appropriate, any compensation, consiration, or benefit receivefrom or paito others for the recommention of procts or services. A is incorrebecause the VI.A sclosure of Conflicts section of the Conflicts of Interest stanrrequires members ancantes to make full anfair sclosure of all matters (not limiteto legrequirements) thcoulreasonably expecteto impair their inpennanobjectivity or interfere with respective ties to their clients, prospective clients, anemployer. C is incorrebecause the VI.B Priority of Transactions section of the Conflicts of Interest stanrrequires members ancantes to give priority to investment transactions for clients anemployers versus those in whia member or cante is the beneficiowner. This requirement is not waiveemployer’s approval. 拿到公司的批准也不能优先交易吗?是无条件必须客户的交易在前?

2022-02-02 23:35 1 · 回答

NO.PZ2018062009000074 sclose, appropriate, any benefit paito others for the recommention of procts. seek employer approvbefore prioritizing their investment transactions over those clients. B is correct. The VI.C ReferrFees section of the Conflicts of Interest stanrrequires members ancantes to sclose to their employer, clients, anprospective clients, appropriate, any compensation, consiration, or benefit receivefrom or paito others for the recommention of procts or services. A is incorrebecause the VI.A sclosure of Conflicts section of the Conflicts of Interest stanrrequires members ancantes to make full anfair sclosure of all matters (not limiteto legrequirements) thcoulreasonably expecteto impair their inpennanobjectivity or interfere with respective ties to their clients, prospective clients, anemployer. C is incorrebecause the VI.B Priority of Transactions section of the Conflicts of Interest stanrrequires members ancantes to give priority to investment transactions for clients anemployers versus those in whia member or cante is the beneficiowner. This requirement is not waiveemployer’s approval. 不太了解知识点在那边。

2022-01-22 16:14 1 · 回答