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:
A.
B.
C.
解释:
B is correct.
Statement 3 is incorrect. The disclosure of a conflict should be made prominently and in plain languageregardless 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.
送analyst:
小礼物 不披露
奢侈品 不论如何都不可收
送asset manager:
小礼物 不披露
奢侈品 披露并获得雇主同意可收,但违反了独立客观性?
我想请问,以上披露是指客户还是雇主?不披露是说对任何人都不需要是吗?