他是错在没有disclose还是错在担任了这家公司的board呢？

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NO.PZ201604030300005002

问题如下：

2. Does Schmidt violate the CFA Institute Asset Manager Code of Professional Conduct with respect to his current Trezeguet board service?

选项：

No.

Yes, with respect to priority of client interests only.

Yes, with respect to priority of client interests and participation in business relationships.

解释：

C is correct.

Schmidt is on the board of a company whose stock is in microcap indices. This is a conflict of interest, as Ronoldo’s widened investment guidelines allow purchase of Trezeguet stock for the fund. As Schmidt is an insider for the company and received options that can be sold (after 24 months), this relationship should be terminated.

如果担任了并且disclose了，那还算是违反吗？看c选项后半句的意思好像是说错在了参与这家公司

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1 个答案

王暄_品职助教 · 2021年07月08日

【Participation in business relationship】的意思就是Schmidt是这家董事会的成员，所有与这家公司有商务关系。并不是不行，而是要披露。只要披露就可以。

Schmidt是Trezeguet Baking Company董事会的成员，而且Schmidt持有Trezeguet的option（24个月后才能卖掉），且Trezeguet的股票被纳入了小盘股指数。
上一段提到Ronoldo改变了投资策略，将一些小盘股也加入了SZR’s fund，所以他们的基金根据Ronoldo的新策略是可以买入Trezeguet Stocks的。这里就存在了利益冲突，因为客户会怀疑：正是因为Schmidt是Trezeguet公司董事会的成员，且手上持有Trezeguet股票的Option，SZR’s fund才会在基金里买入Trezeguet公司的股票的。
Schmidt应该将在Trezeguet董事会任职和持有Trezeguet option的事情披露给客户。

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NO.PZ201604030300005002问题如下2. es Schmi violate the CFA Institute Asset Manager Co of ProfessionConwith respeto his current Trezeguet boarservice?A.No.B.Yes, with respeto priority of client interests only.C.Yes, with respeto priority of client interests anparticipation in business relationships.C is correct.Schmi is on the boarof a company whose stois in microcinces. This is a confliof interest, Ronol’s wineinvestment guilines allow purchase of Trezeguet stofor the fun Schmi is insir for the company anreceiveoptions thcsol(after 24 months), this relationship shoulterminate如何理解priority of client interest

2022-03-27 23:22 1 · 回答

答案内容怎么理解呢？

2020-07-08 21:06 1 · 回答

他是错在没有disclose还是错在担任了这家公司的board呢？

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