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vivian_zm · 2018年06月10日

问一道题:NO.PZ201604030300004306 第6小题 [ CFA III ]

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问题如下图:

    

选项:


A.

B.

C.

解释:


这道题有两点疑问:

1、对于重大的conflict事前披露给客户并不违反呀,这不代表说不重大的就不披露吧,感觉很牵强。

2、客户的礼物,应该要披露并且得到雇主的书面同意才不违反additional compensation吧。

这道题我和答案完全选的是反的,也是醉了。

1 个答案
已采纳答案

韩韩_品职助教 · 2018年06月13日

同学你好,statement3, 说了CFA持证人会去判断是否是重要的,但是这只是很主观的判断,而且每个人的标准都不一样,所以正确的做法应该是所有涉及到利益冲突的点都披露给客户,这样客户可以自己判断是否可以信任你。

statement 4,这里是说公司制定的关于additional compensation的原则,这里主体是公司,而不是个人。

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NO.PZ201604030300004306 问题如下 6. Are the seminspeaker’s Statements 3 an4, respectively, sufficient to meet the requirements of relateCFA Institute Stanr? Statement 3Statement 4 A.NoNo B.NoYes C.YesNo B is correct.Statement 3 is incorrect. The sclosure of a conflishoulma — prominently anin plain language — regaress of whether the member views the conflimaterial, so the client ctermine the materiality of the conflict. Statement 4 is in complianwith CFA Institute Stanr. The MahsuFinancisclosure requirement meets CFA Institute Stanr. Gifts from clients shoulscloseto the employer, whiis responsible for termining whether the gift coulaffethe employee’s inpennanobjectivity. 人家表述是我现在对于被认定为重大的conflicts应该要做的事情,那确实需要披露啊,那这样做没毛病啊,难道不披露吗?解析扯什么要对所有的conflicts,人家只是问你这句话对不对,又没说其他非重大的conflicts就不披露了,这种考法真的很无语。

2023-07-26 16:34 1 · 回答

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2022-03-31 10:07 2 · 回答

NO.PZ201604030300004306 No Yes Yes No B is correct. Statement 3 is incorrect. The sclosure of a conflishoulma — prominently anin plain language — regaress of whether the member views the conflimaterial, so the client ctermine the materiality of the conflict. Statement 4 is in complianwith CFA Institute Stanr. The MahsuFinancisclosure requirement meets CFA Institute Stanr. Gifts from clients shoulscloseto the employer, whiis responsible for termining whether the gift coulaffethe employee’s inpennanobjectivity.老师,客户给的礼物只向雇主披露就可以吗?还需要披露给其他客户吗?谢谢。

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NO.PZ201604030300004306 不是收礼物的话一定要雇主同意吗?

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