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Ruthlessbaby · 2020年09月20日

问一道题：NO.PZ201604030300004701 第1小题 [ CFA III ]

  1. CFA III
  2. Ethics

* 问题详情，请 查看题干

问题如下：

1. According to the CFA Institute Standards of Professional Conduct, before accepting the position on the board of the subsidiary, Riser should:

选项：

A.

receive verbal consent from Swibank.

B.

receive verbal consent from his clients.

C.

disclose to his employer the financial compensation proposed by the subsidiary.

解释：

C is correct.

According to Standard IV(B), members must not accept compensation that competes with their employers’ interest unless they obtain written consent from all parties involved. Thus Riser must receive written, not verbal, consent from his employer before accepting the position on the subsidiary’s board. According to the recommended procedures for compliance, Riser should make an immediate written report to his employer specifying the terms of the agreement; the nature of the compensation; the approximate amount of the compensation; and the duration of the agreement. The Standards do not require that members receive permission from clients before accepting board positions.

有利益冲突为什么不需要征求客户同意？不是说需要向客户披露吗
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1 个答案

王暄_品职助教 · 2020年09月20日

嗨，爱思考的PZer你好：


对于在分支机构的BOD任职，这和客户没有关系，客户不关心你在哪儿任职。而这份额外的工作却是需要得到雇主的同意的。


-------------------------------
努力的时光都是限量版，加油！


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NO.PZ201604030300004701 问题如下 1. Accorng to the CFA Institute Stanr of ProfessionConct, before accepting the position on the boarof the subsiary, Riser shoul A.receive verbconsent from Swibank. B.receive verbconsent from his clients. C.sclose to his employer the financicompensation proposethe subsiary. C is correct.Accorng to StanrIV(B), members must not accept compensation thcompetes with their employers’ interest unless they obtain written consent from all parties involve Thus Riser must receive written, not verbal, consent from his employer before accepting the position on the subsiary’s boar Accorng to the recommenproceres for compliance, Riser shoulmake immeate written report to his employer specifying the terms of the agreement; the nature of the compensation; the approximate amount of the compensation; anthe ration of the agreement. The Stanr not require thmembers receive permission from clients before accepting boarpositions. 子公司的职位是工作时间的竞争性岗位，为何接受子公司的职位不需要得到总公司的同意？

2024-03-10 16:40 1 · 回答

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2022-07-28 08:01 1 · 回答

老师，请问答案解析的最后一句“The Stanr not require thmembers receive permission from clients before accepting boarpositions.\"是指可以在得到同意之前接受职位吗？

2020-11-11 17:30 1 · 回答

    请问子公司的情况雇主应该知道，为什么还要披露？

2019-04-02 23:45 1 · 回答