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

eee · 2019年05月05日

书后36题




Sebastian Riser, CFA, works as a portfolio manager for Swibank, a small private bank in Switzerland. Riser manages the accounts of his clients according to best practices, keeping clients’ interests before those of the bank and his own. He allocates investments in a fair manner when he deems them consistent with the stated objectives and constraints of clients.

Swibank has a Luxembourg subsidiary, which distributes fund-of-funds products. Riser recently received a request to serve on the board of directors for the subsidiary. In this role, Riser would advise management on business strategies; market opportunities; potential clients; and current and prospective fund managers. For his role on the board, Riser would receive an annual payment directly from the subsidiary equivalent to 5% of his total portfolio manager salary in Switzerland.




According to the CFA Institute Standards of Professional Conduct, before accepting the position on the board of the subsidiary, Riser should:

  1. receive verbal consent from Swibank.

  2. receive verbal consent from his clients.

  3. disclose to his employer the financial compensation proposed by the subsidiary

此题关于additional compensation,我记得基础课讲得时候是说与现在雇主业务有竞争关系的才是additional compensation,需要雇主同意,比如业余时间捡垃圾的收入是不需要取得雇主同意的,此题他的兼职与雇主业务并没有竞争关系,为什么要雇主同意呢,不知是不是我记错了?(课件讲因为此兼职是由于本职工作获得的,好像基础课没这样讲,而且薪酬和职位并不对雇主本职工作有任何影响,感觉不需要雇主同意)







1 个答案
已采纳答案

发亮_品职助教 · 2019年05月06日

”不知是不是我记错了?”

没有记错,是这样的。

业余时间,参与与雇主业务无关的事项,不需要披露,也不需要得到雇主同意。但前提是业余的工作不能影响到本职工作,例如,捡垃圾到很晚,没休息好,影响到了第二天的本职工作。那这也是违反了Loyalty to employer。

那些可能会影响本职工作、与本职工作产生利益冲突的,需要向雇主披露且得到同意。

虽然本题的兼职与本职工作不是同行竞争,但是可能会影响到本职工作。例如本职工作是基金经理,但却要参与Subsidiary的路演,可能会影响到本职工作,所以需要披露。披露之后,雇主才能了解到真实的用人成本:

the employer is entitled to have full knowledge of all compensation/benefit arrangements so as to be able to assess the true cost of the services members or candidates are providing.

  • 1

    回答
  • 1

    关注
  • 390

    浏览
相关问题