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

返回

Normy · 2020年03月31日

问一道题：NO.PZ201604030300004704

  1. CFA III
  2. Ethics

* 问题详情，请 查看题干

问题如下：

4. When resigning from Swibank, does Riser violate any CFA Institute Standards?

选项：

A.

No.

B.

Yes, because he breaches his duty of loyalty to his employer.

C.

Yes, because he does not resign his position with the Luxembourg subsidiary.

解释：

A is correct.

No violation occurred. Riser is not required to resign his position with the subsidiary. Riser did not engage in any activities that would conflict with his employer’s interest before his resignation became effective.

新东家是自己所在董事会的管理人 这么大的冲突 没有违反code?

添加评论
1 个答案

发亮_品职助教 · 2020年04月01日

嗨，努力学习的PZer你好：


这道题是这样，Riser 同学是在Swibank做Portfolio mananger；

然后Swibank在Luxembourg有一家子公司，负责分销基金产品，然后Riser在这家子公司担任董事。

现在Riser同学从Swibank辞职，加入了另外一家基金公司Komm Private Management，然后题干问从Swibank辞职这件事有没有违反啥准则。

从Swibank辞职这件事没有违法任何准则，完全OK，并且从Swibank辞职这件事，也不会要求他一定也从子公司辞职。题干后面的信息也说了，在Swibank担任基金经理和在子公司担任董事是相互不影响、独立的，所以他答应了继续在子公司担任董事：

His position on the board of the subsidiary is not dependent on his employment at the bank, and he agrees to serve the remaining three years of his term.

如果题干改一下，问加入Komm Private Management没有披露在子公司担任董事这件事，那一定违反。加入Komm之前，需要先向新公司披露自己在另外一家子公司担任董事。


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


  • 1

    回答

  • 2

    关注

  • 967

    浏览
相关问题

NO.PZ201604030300004704 问题如下 4. When resigning from Swibank, es Riser violate any CFA Institute Stanr? A.No. B.Yes, because he breaches his ty of loyalty to his employer. C.Yes, because he es not resign his position with the Luxembourg subsiary. A is correct.No violation occurre Riser is not requireto resign his position with the subsiary. Riser not engage in any activities thwoulconfliwith his employer’s interest before his resignation became effective. subsiary都hire Komm来管理新产品了，难道同时就职于这两家公司，业务之间没有竞争关系吗？有竞争关系，为什么还是loyto subsiary？虽然C直接resign有点过激，但至少得sclose且获得subsiary的written permission吧？

2024-05-31 00:03 1 · 回答

NO.PZ201604030300004704 问题如下 4. When resigning from Swibank, es Riser violate any CFA Institute Stanr? A.No. B.Yes, because he breaches his ty of loyalty to his employer. C.Yes, because he es not resign his position with the Luxembourg subsiary. A is correct.No violation occurre Riser is not requireto resign his position with the subsiary. Riser not engage in any activities thwoulconfliwith his employer’s interest before his resignation became effective. 我觉得道德的难点呢就在于搞不清人物关系以及工作职责，这文章的关系我大概理解了，但是还有一些疑问。1.母公司和分公司关系，在我理解中，如果我任职在母公司，那去分公司再任职，那一定是母公司允许的，说到底这不是一家公司么？怎么存在利益冲突？？最终都在为母公司任职啊！但是题目里的感觉分公司 subsiary 像独立第三方，和母公司没关系一样，所以题目出到这种母子公司，其实不用管他们是母子公司，就按照2个单独独立的公司看待，是吗？2.其次是董事会席位，这种大佬一般会有好多身份，哪些身份之间是不会利益冲突的，像题目中他在a公司当董事，当董事是干什么工作的？？还可以去b公司当创始人之一，a与b是不是竞争关系？strubute funof-fun procts，说明a是卖产品的？asset management, aisory, antrust services to high-net-worth invials. 说明b是管理产品的？他俩之间是上下游么？

2023-09-02 12:50 1 · 回答