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?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
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。
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