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徐威廉 · 2019年11月14日

问一道题:NO.PZ2018062009000004 [ CFA I ]

问题如下图:

选项:

A.

B.

C.

解释:C为什么违反了ethic,经理已经披露给了雇主并且得到了allow啊?为什么还错?

1 个答案
已采纳答案

包包_品职助教 · 2019年11月15日

嗨,努力学习的PZer你好:


这个主要是看送礼物的目的。

如果送礼的目的是为了答谢,比如客户为了感谢基金经理给自己投资投的比较好,那么这个礼物就属于additional compensation,只要收到雇主的书面同意就可以收

如果送礼的目的是为了影响独立客观性,比如客户送礼是为了让基金经理在投资的时候更偏向她的账户一点,那这个礼物就是影响独立客观性的礼物,即使收到了雇主的书面同意也不能收

 


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    请问a这么理解对吗?除非法律要求,在没有得到批准的情况下,不需要披露客户送礼的信息怎么样理解是对的呢?

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