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zhouyu · 2020年09月28日

问一道题:NO.PZ2018062009000004 [ CFA II ]

问题如下:

Which of the followings most likely violated the Code and Standards recommended by the CFA Institute?

选项:

A.

Manager should not disclose informations received from clients without permission unless required by law.

B.

Manager can make an investment conclusion by analyzing public information and non-material nonpublic information

C.

As long as the manager send a written report to the employer which details any gifts from clients, the manager is allowed to accept the gifts.

解释:

C is correct.

A complies with Standard III(E) Preservation of Confidentiality. B is so called mosaic theory, which is not a violation of the standard. Disclose any gifts from clients to the employer is required in Standard I(B) Independence and Objectivity. However, luxury gifts may have effects on manager's independence and objectivity. Therefore, only token items can be accepted.

B为什么不选?非公开信息啊。
1 个答案
已采纳答案

Debrah_品职答疑助手 · 2020年09月29日

同学你好,根据马赛克理论,material public and nonmaterial nonpublic information 都是不违反II (A)的。虽然是非公开,但是nonmatierial不重大,所以是OK的。

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NO.PZ2018062009000004 问题如下 Whiof the followings most likely violatethe Co anStanr recommenthe CFA Institute? A.Manager shoulnot sclose informations receivefrom clients without permission unless requirelaw. B.Manager cmake investment conclusion analyzing public information annon-materinonpublic information C.long the manager sena written report to the employer whitails any gifts from clients, the manager is alloweto accept the gifts. C is correct.A complies with StanrIII(E) Preservation of Confintiality. B is so callemosaic theory, whiis not a violation of the stanr sclose any gifts from clients to the employer is requirein StanrI(InpennanObjectivity. However, luxury gifts mhave effects on manager's inpennanobjectivity. Therefore, only token items caccepteA符合准则III(E)的规定。B是马赛克理论,因此也未违反准则的规定。准则I(B)规定,CFA会员应当向雇主披露任何客户赠予的礼物,但是非常奢侈的礼物可能会影响财富经理的独立客观性,因此只能收取一般性的礼物。 法律要求就可以披露了吗

2024-06-04 16:15 1 · 回答

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2023-10-14 22:06 2 · 回答

C为什么违反了ethic,经理已经披露给了雇主并且得到了allow啊?为什么还错?

2019-11-14 03:05 1 · 回答

    请问a这么理解对吗?除非法律要求,在没有得到批准的情况下,不需要披露客户送礼的信息怎么样理解是对的呢?

2019-10-23 02:18 1 · 回答