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MiaChen · 2021年05月20日

不是收礼物的话一定要雇主同意吗？

  1. CFA III
  2. Ethics

* 问题详情，请 查看题干

NO.PZ201604030300004306

问题如下：

6. Are the seminar speaker’s Statements 3 and 4, respectively, sufficient to meet the requirements of related CFA Institute Standards?

选项：

Statement 3
Statement 4
A.
No
No
B.
No
Yes
C.
Yes
No

解释：

B is correct.

Statement 3 is incorrect. The disclosure of a conflict should be made — prominently and in plain language — regardless of whether the member views the conflict as material, so the client can determine the materiality of the conflict. Statement 4 is in compliance with CFA Institute Standards. The Mahsud Financial disclosure requirement meets CFA Institute Standards. Gifts from clients should be disclosed to the employer, which is responsible for determining whether the gift could affect the employee’s independence and objectivity.

不是收礼物的话一定要雇主同意吗？

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1 个答案

王暄_品职助教 · 2021年05月20日

是的，收礼分两步：

  1. 披露给雇主，只要披露就不违反I(B)独理客观性。
  2. 收到同意后，再收下礼物

Statement 4说的就是要披露的问题，与CFA的要求相一致。没有违反。

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