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ccling · 2019年06月08日

老师,这题为什么不选C

12 Heidi Katz is a CFA candidate and an analyst at a pension consulting firm. Her father is a major shareholder and managing director at Saturn Partners, a large hedge fund. When assisting in an alternative manager search for a pension client, Katz plans to recommend Saturn’s market-neutral strategy because she feels it meets all of the pension plan’s criteria. Given this situation, the best course of action for Katz is to:


A not present this strategy to the client and recommend another strategy.


B disclose the potential conflict to the pension client when discussing this recommendation.


C disclose the potential conflict to her employer and follow their guidance regarding disclosure of her relationship to the client.




1 个答案

包包_品职助教 · 2019年06月10日

C选项说只把利益冲突披露给雇主并且接受雇主的指导而不用把相关关系批露给客户。

这个肯定不行的,我们也要把这个关系披露给客户,这个客户才可以更客观的衡量它推荐这个hudge fund的策略是由于这个策略好还是由于他本人和这个hedge fund 的特殊关系。

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