NO.PZ2016040303000013
问题如下:
Jurgen is a portfolio manager. One of her firm’s clients has told Jurgen that he will compensate her beyond the compensation provided by her firm on the basis of the capital appreciation of his portfolio each year. Jurgen should:
选项:
A.
Turn down the additional compensation because it will result in conflicts with the interests of other clients’ accounts.
B.
Turn down the additional compensation because it will create undue pressure on her to achieve strong short-term performance.
C.
Obtain permission from her employer prior to accepting the compensation arrangement.
解释:
C is correct.
This question involves Standard IV(B) –Additional Compensation Arrangements. The arrangement described in the question—whereby Jurgen would be compensated beyond the compensation provided by her firm, on the basis of an account’s performance—is not a violation of the Standards as long as Jurgen discloses the arrangement in writing to her employer and obtains permission from her employer prior to entering into the arrangement. Answers A and B are incorrect; although the private compensation arrangement could conflict with the interests of other clients and lead to short-term performance pressures, members and candidates may enter into such agreements as long as they have disclosed the arrangements to their employer and obtained permission for the arrangement from their employer.
想问一下,这个题特意强调雇主的同意,但是看了老师的解答、甚至包含原版书的描述,没有真的提到要其他客户(利益冲突方)也同意。
那么假设一个题目的题干说明他已经得到了雇主的同意,无论是否Written,都可以认为是没有违反对吗?如果此时选项里面有提到,他应该得到“雇主”和“其他客户”的同意,那么到底是应该选没有违反,还是选应该得到“雇主”和“其他客户”都同意才行呢?