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yan · 2025年02月06日

文中哪里看出这道题选C?

* 问题详情,请 查看题干

NO.PZ202301190200000902

问题如下:

By participating in OAM’s annual competition, Rayne employees least likely violate which of the following CFA Institute Standards of Professional Conduct?

选项:

A.Misrepresentation

B.Independence and Objectivity

C.Additional Compensation Arrangements

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CFA会员不得接受可能影响其独立性和客观性的额外补偿,任何基于业绩的奖励制度都应当保证员工的行为不偏离其对客户的责任,特别是不能通过过度追求销售业绩来损害客户利益。Rayne员工参与OAM的年度比赛并不会导致他们违反标准,因为该奖励制度本身并未明确指出会影响他们的独立性或客观性,且没有具体迹象表明这种奖励制度会导致员工在处理客户事务时产生不正当的动机或利益冲突。

文中哪里看出这道题选C?

1 个答案

小刘_品职助教 · 2025年02月06日

嗨,爱思考的PZer你好:


案例背景提及:To conclude the meeting, Mutini describes OAM’s annual competition among its sales agents, in which the winner is determined by the value of products sold (assets under management), fees generated, and the number of new clients brought in. The competition prize is an all-expense-paid two-week holiday for two to Mauritius. Mutini advises the staff that they should concentrate their sales efforts on OAM’s front-end load funds because they earn the highest fees. She adds that staff should not disclose this competition to clients.

Mutini介绍了OAM销售代理的年度竞赛,获胜者由销售产品价值、产生的费用和带来的新客户数量决定,奖品是双人毛里求斯两周免费度假,Mutini建议员工要多推销前端收费基金,还让员工不要向客户透露竞赛这件事。

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