NO.PZ202301190200001003
问题如下:
With regard to Kim’s fee arrangements with Akagi, whose actions are most inconsistent with the CFA Institute Standards of Professional Conduct?选项:
A.Kim’s B.Akagi’s C.Both Kim’s and Akagi’s解释:
根据CFA Institute的《道德规范与专业行为准则》,标准 IV(B)额外收入安排,要求在额外收入安排中披露潜在利益冲突。Kim和Akagi都没有充分、及时地披露他们的费用安排,尽管Kim向客户口头披露了相关信息,但这一做法并不符合标准要求的透明度和提前披露。
描述Akagi的:“Akagi also discloses to each client the fee he expects to earn from this arrangement once an investment management agreement is signed.”
这很及时充分了吧,不太理解这题