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吴奕橦 · 2023年10月27日

b选项是啥意思

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.

b选项啥意思,请解释下

1 个答案

王暄_品职助教 · 2023年10月28日

当其他人帮我们推荐产品的时候,我们给他人的好处,是需要披露的

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