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Sophia · 2022年03月31日

老师，请帮忙捋捋收礼的情况吧。看看我这么理解对不对？

  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.

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？

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已采纳答案

王暄_品职助教 · 2022年04月01日

严格意义上来说，披露给所有的利益相关方；但是在CASE中，一般指披露给雇主

举个例子：作为asset manager，我收了某客户的小汽车，严格意义上来说我要披露给所有其他客户以及雇主，并收到他们所有的人的同意才能收。你可以想象以下，基本上其他客户都不会搭理你的。所以在case中甚至在生活中，我们只要披露给雇主，并且收到雇主的同意才能收。


不披露是指对任何人都不要说

Sophia · 2022年04月01日

那披露了并获得雇主同意了才收受巨额礼物不违反收礼的规定，那么算违反独立客观性么？

王暄_品职助教 · 2022年04月01日

那披露了并获得雇主同意了才收受巨额礼物不违反收礼的规定，那么算违反独立客观性么？

那你就要看case里怎么描述的，如果披露了，收到了同意了，收下了之后，没有按照事实做出相应的决策，那肯定还是违反的。

如果披露了，收到了同意了，收下了之后，按照事实做出相应的决策，那就OK

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相关问题

NO.PZ201604030300004306 问题如下 6. Are the seminspeaker’s Statements 3 an4, respectively, sufficient to meet the requirements of relateCFA Institute Stanr? Statement 3Statement 4 A.NoNo B.NoYes C.YesNo B is correct.Statement 3 is incorrect. The sclosure of a conflishoulma — prominently anin plain language — regaress of whether the member views the conflimaterial, so the client ctermine the materiality of the conflict. Statement 4 is in complianwith CFA Institute Stanr. The MahsuFinancisclosure requirement meets CFA Institute Stanr. Gifts from clients shoulscloseto the employer, whiis responsible for termining whether the gift coulaffethe employee’s inpennanobjectivity. 人家表述是我现在对于被认定为重大的conflicts应该要做的事情，那确实需要披露啊，那这样做没毛病啊，难道不披露吗？解析扯什么要对所有的conflicts，人家只是问你这句话对不对，又没说其他非重大的conflicts就不披露了，这种考法真的很无语。

2023-07-26 16:34 1 · 回答

NO.PZ201604030300004306 No Yes Yes No B is correct. Statement 3 is incorrect. The sclosure of a conflishoulma — prominently anin plain language — regaress of whether the member views the conflimaterial, so the client ctermine the materiality of the conflict. Statement 4 is in complianwith CFA Institute Stanr. The MahsuFinancisclosure requirement meets CFA Institute Stanr. Gifts from clients shoulscloseto the employer, whiis responsible for termining whether the gift coulaffethe employee’s inpennanobjectivity.老师，客户给的礼物只向雇主披露就可以吗？还需要披露给其他客户吗？谢谢。

2021-09-19 16:15 1 · 回答

NO.PZ201604030300004306 No Yes Yes No B is correct. Statement 3 is incorrect. The sclosure of a conflishoulma — prominently anin plain language — regaress of whether the member views the conflimaterial, so the client ctermine the materiality of the conflict. Statement 4 is in complianwith CFA Institute Stanr. The MahsuFinancisclosure requirement meets CFA Institute Stanr. Gifts from clients shoulscloseto the employer, whiis responsible for termining whether the gift coulaffethe employee’s inpennanobjectivity.statement3错哪了？

2021-08-06 17:09 2 · 回答

NO.PZ201604030300004306 不是收礼物的话一定要雇主同意吗？

2021-05-20 11:35 1 · 回答