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wyrw · 2024年10月19日

C选项为何不对

NO.PZ2023021602000080

问题如下:

Johannes Meir, CFA, is a compliance officer for Family Estate Planning, LLC, a private wealth consulting firm. Many of his colleagues have family members who have started their own retail businesses. Some of Meir's colleagues have been asked by relatives to serve as non-executive directors or advisers to their companies. Meir should most likely recommend which of the following policies to ensure compliance with the CFA Institute Standards of Professional Conduct?

选项:

A.Require employees to declare all income sources annually B.Require employees to declare all outside business interests C.Prohibit employees from becoming directors or advisers

解释:

Standard VI(A)–Disclosure of Conflicts requires the disclosure of conflicts. For Meir to understand what potential conflicts of interest employees may have with the firm and with their clients, he would need to know the outside interests of each staff member. The staff members themselves may not know enough about the company and its clients to disclose those interests that would present a potential conflict. Therefore, it may be best to have all employees declare their outside business interests on an annual basis so Meir can make the determination as to what outside business interests need to be disclosed to clients.

C选项为何不对

1 个答案

王暄_品职助教 · 2024年10月19日

C选项(Prohibit employees from becoming directors or advisers):这个选项直接禁止员工成为其他公司的董事或顾问。虽然这种做法可以避免利益冲突,但它过于绝对,可能剥夺了员工合法的商业机会