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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

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