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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?

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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。


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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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