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remoo · 2020年03月19日

问一道题:NO.PZ2016032802000043 [ CFA II ]

问题如下:

Tribe Dish, a portfolio manager in Dove Company. Recently, he establishes a cooperation with an asset management company called Lemon. The cooperation states that if he can introduce potential clients to Lemon, it can give Dove business in return. Lemon then discloses this cooperation in the report to his clients as long as they receive clients from Tribe. According to the information, which of the following statements is most likely correct?

选项:

A.

Lemon doen't violate the Code and Standards.

B.

Lemon violates the Code and Standards by disclosing this cooperation to the clients.

C.

Lemon violates the Code and Standards by establishing this cooperation.

解释:

A is correct.

According to Standard VI(C) Referral Fees, Lemon complies with this standard. When Lemon receives the clients, he will write a report to disclose this cooperation in advance.

这个合作不涉及竞业吗?

1 个答案

发亮_品职助教 · 2020年03月19日

嗨,爱思考的PZer你好:


“这个合作不涉及竞业吗?”


不涉及,这就是Dove公司与Lemon公司之间的合作,公司之间的这种合作非常多,在咱们的题目中也比较多见。这种合作对两家公司而言多是互惠的,比如A银行的员工把B保险公司的业务介绍给银行客户。

如果这种合作有奖金,比如每介绍一名客户,保险公司就给银行员工发一些奖金,这个奖金一定要做到充分披露。


-------------------------------
就算太阳没有迎着我们而来,我们正在朝着它而去,加油!


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