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ciaoyy · 2020年03月12日

问一道题:NO.PZ2016040303000031

问题如下:

Long has been asked to be the keynote speaker at an upcoming investment conference. The event is being hosted by one of the third-party investment managers currently used by his pension fund. The manager offers to cover all conference and travel costs for Long and make the conference registrations free for three additional members of his investment management team. To ensure that the conference obtains the best speakers, the host firm has arranged for an exclusive golf outing for the day following the conference on a local championship-caliber course. Which of the following is least likely to violate Standard I (B)?

选项:

A.

Long may accept only the offer to have his conference-related expenses paid by the host firm.

B.

Long may accept the offer to have his conference-related expenses paid and may attend the exclusive golf outing at the expense of the hosting firm.

C.

Long may accept the entire package of incentives offered to speak at this conference.

解释:

A  is correct.

Answer Standard I(B) –Independence and Objectivity emphasizes the need for members and candidates to maintain their independence and objectivity. Best practices dictate that firms adopt a strict policy not to accept compensation for travel arrangements. At times, however, accepting paid travel would not compromise one’s independence and objectivity. Answers B and C are incorrect because the added benefits—free conference admission for additional staff members and an exclusive golf retreat for the speaker—could be viewed as inducements related to the firm’s working arrangements and not solely related to the speaking engagement. Should Long wish to bring other team members or participate in the golf outing, he or his firm should be responsible for the associated fees.

能把本题与No.PZ2016040303000019比较一下吗? 

1 个答案
已采纳答案

发亮_品职助教 · 2020年03月13日

嗨,努力学习的PZer你好:


“能把本题与No.PZ2016040303000019比较一下吗? ”


好的。

19那道题,问的是Best course,让我们找最优的做法,最优的做法是拒绝一切安排,费用自理。

然后这道题是问最不可能违反准则的是?所以这道题问的是Code and standards下最低标准的做法。


不违反准则、最低标准的做法是:只能接受不影响独立客观性的礼物。或者换句话说,不能接受,在外界第三方看来,会影响他独立客观性的一切礼物。

如下图:



然后根据这道题,Long被邀请去一个Investment conference发表演讲,最优的做法是拒绝一切安排,费用自理。

然后不违反准则的做法是,只能只受必要的、合理的安排。

整个这件事中,只有和他发表演讲有关的费用,才算合理、必要的安排。比如,他自己的travel costs,Conference registrations,这样就OK了。


3 Additional members of his team,这个一定不能接受,因为这3个人和演讲无关,他们没必要去,所以不能接受这3个人的费用开支。

Exclusive golf outing,然后这个Golf安排和这次的Conference演讲没关,所以也不能接受。

所以,Long只能接受他自己的差旅费,和Conference注册费,然后要披露。剩下的3个人的注册费,以及高尔夫是要拒绝。


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