开发者:上海品职教育科技有限公司 隐私政策详情

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齐王木木 · 2020年11月20日

问官网道德案例题

请问此题为何不选A,感觉收bonus会影响独立客观的啊?

Estevez is a senior research analyst with BIR, a boutique investment research firm that covers microand

small-cap companies. These companies hire BIR to provide research coverage to promote their

stock to investors who otherwise might not be aware of them. Because of BIR’s stellar reputation,

its research services are in heavy demand by both investors and those companies seeking to get

on investors’ radar. Estevez helps BIR select the companies that should receive coverage and also

oversees a team of junior analysts who conduct the research. Some companies encourage Estevez

to select their company for research by providing her a separate bonus if they are included in the BIR

research universe. Estevez’s actions are


A. unacceptable because her independence and objectivity in conducting the research are

compromised if the research is solicited and paid for by the covered company.

B. acceptable as long as Estevez does not use material nonpublic information from the company.

C. unacceptable if Estevez’s compensation from BIR is tied to the specific findings of the report.

D. acceptable as long as her company approves offered payments from covered companies.

1 个答案

王暄_品职助教 · 2020年11月21日

A.unacceptable because her independence and objectivity in conducting the research are compromised if the research is solicited and paid for by the covered company.

A的意思是:这个活儿不能接,因为主动找上门来的reseach,和付费research会影响独理客观性。

这句话说的原因有误,因为主动找上门来,并且付费的research可以接的,没问题(很多小公司找投研团队写研报的,就是为了提高在社会的影响)只要不影响独立客观性即可。

 

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