yan · 2025年02月05日
* 问题详情，请 查看题干
NO.PZ201604030300005005
问题如下：
5. Does Schmidt violate the CFA Institute Asset Manager Code of Professional Conduct in his interaction with consultants?
选项：
A.
No.
B.
Yes, only with respect to confidentiality.
C.
Yes, only with respect to business relationships that could affect independence.
解释：
B is correct.
Schmidt violated Code A-2 by revealing Sastre’s hiring of SZR and its special fee discount.
文中内容哪里与B相关？
小刘_品职助教 · 2025年02月06日
嗨，从没放弃的小努力你好：
案例背景中提到：Schmidt, SZR’s sales director, sends the commingled fund’s stellar performance track record to several investment consultants, who serve as "gatekeepers" for large institutional clients, but he is told that SZR is too small to be considered by their clients. After Schmidt reveals that Sastre has recently hired SZR, and offers to negotiate the same special fee discount that has been given to Sastre, one consultant agrees to consider SZR for its clients.
SZR的销售总监Schmidt给了投资顾问混合基金的业绩记录，还告知公司规模太小难以被考虑，之后Schmidt透露给Sastre最近聘请了 SZR，还提及给Sastre的special fee discount，因此顾问同意考虑让客户选择SZR。
----------------------------------------------加油吧，让我们一起遇见更好的自己！
NO.PZ201604030300005005问题如下5. es Schmi violate the CFA Institute Asset Manager Co of ProfessionConin his interaction with consultants?A.No.B.Yes, only with respeto confintiality.C.Yes, only with respeto business relationships thcoulaffeinpennce.B is correct.Schmi violateCo A-2 revealing Sastre’s hiring of SZR anits specifee scount.如果s没有拒绝承办会议，是不是违反了？如果披露了，是不是就不违反利益冲突了？
NO.PZ201604030300005005问题如下5. es Schmi violate the CFA Institute Asset Manager Co of ProfessionConin his interaction with consultants?A.No.B.Yes, only with respeto confintiality.C.Yes, only with respeto business relationships thcoulaffeinpennce.B is correct.Schmi violateCo A-2 revealing Sastre’s hiring of SZR anits specifee scount.就算没有这句but asks thits hiring of SZR not ma public。也要保密客户关系吧？
那句话可以看出是涉及confintial呢？
