开发者:上海品职教育科技有限公司 隐私政策详情

应用版本:4.2.11(IOS)|3.2.5(安卓)APP下载

sion · 2019年04月12日

问一道题:NO.PZ201604030300004706 第6小题 [ CFA III ]

* 问题详情,请 查看题干

问题如下图:

选项:

A.

B.

C.

为什么在子公司工作就不会有潜在利益冲突?
1 个答案
已采纳答案

发亮_品职助教 · 2019年04月12日

这道题是需要向客户披露他在Swibank subsidiary的Board任职的。

这里存在利益冲突。

首先是Riser这个人跳槽到了Komm Private Management任职,而Swibank subsidiary雇佣了Komm这家公司来管理其新产品。

同时Riser还在Swibank subsidiary的Board继续任职。所以之间存在利益冲突,需要向客户披露。

注意本题是选,不需要披露的一项,因为A/B选项都存在利益冲突需要披露,所以不选A/B

披露了利益冲突即可,具体的任职薪酬是不需要披露的。所以不选C

  • 1

    回答
  • 0

    关注
  • 849

    浏览
相关问题

NO.PZ201604030300004706 问题如下 6. Accorng to CFA Institute Stanr, Riser is not requireto sclose to clients his: A.holngs of the Japanese equity proct. B.relationship with the Swibank subsiary. C.compensation from the Swibank subsiary. C is correct.StanrVI(—sclosure of Conflicts requires thmembers ancantes make full anfair sclosure of all matters thcoulreasonably expecteto impair their inpennanobjectivity or interfere with respective ties to their clients, prospective clients, antheir employer. Riser’s holngs of the Japanese equity proanhis position on the boarof the subsiary coulimpair his objectivity anmust scloseto clients. He neenot sclose his compensation from the subsiary because it is not a referrfee. 任职肯定要披露,但是有compensation不是也要披露吗

2024-06-10 14:59 1 · 回答

NO.PZ201604030300004706 问题如下 6. Accorng to CFA Institute Stanr, Riser is not requireto sclose to clients his: A.holngs of the Japanese equity proct. B.relationship with the Swibank subsiary. C.compensation from the Swibank subsiary. C is correct.StanrVI(—sclosure of Conflicts requires thmembers ancantes make full anfair sclosure of all matters thcoulreasonably expecteto impair their inpennanobjectivity or interfere with respective ties to their clients, prospective clients, antheir employer. Riser’s holngs of the Japanese equity proanhis position on the boarof the subsiary coulimpair his objectivity anmust scloseto clients. He neenot sclose his compensation from the subsiary because it is not a referrfee. 我本来选的是A,因为他是为自己的账户投资,所以本来觉得不需要披露。但说公账也投了Japanese equity,存在利益冲突,那么要披露这也的通。可是在我看来B和C就是一体两面,甚至compensation是属于绝对要披露的——因为你都收钱了。而relationship要看情况披露——毕竟父母兄妹亲戚在其他地方任职都是不需要披露的。

2022-08-30 09:02 1 · 回答

NO.PZ201604030300004706 问题如下 6. Accorng to CFA Institute Stanr, Riser is not requireto sclose to clients his: A.holngs of the Japanese equity proct. B.relationship with the Swibank subsiary. C.compensation from the Swibank subsiary. C is correct.StanrVI(—sclosure of Conflicts requires thmembers ancantes make full anfair sclosure of all matters thcoulreasonably expecteto impair their inpennanobjectivity or interfere with respective ties to their clients, prospective clients, antheir employer. Riser’s holngs of the Japanese equity proanhis position on the boarof the subsiary coulimpair his objectivity anmust scloseto clients. He neenot sclose his compensation from the subsiary because it is not a referrfee. 为什么不披露B,他在子公司的职务。我记得这个case,前面问题老师回答说过,客户不在乎你在哪个子公司公司,对他们来说都一样

2022-08-24 16:12 1 · 回答