标题: 分享Ethics的案例。 [打印本页]
作者: angelaxu 时间: 2005-4-25 10:48 标题: 分享Ethics的案例。
425104752622.rar (7.19 KB)
附件: [分享Ethics的案例。] 425104752622.rar (2005-4-25 10:47, 7.19 KB) / 下载次数 922
http://forum.theanalystspace.com/attachment.php?aid=498&k=368fa80cf196cb216a59352673adceaa&t=1736230465&sid=k8TN9y
作者: gengor 时间: 2005-4-25 10:54
谢谢!
作者: hedou 时间: 2005-4-25 19:13
West is a CFA and trust of officer for REC Trust Company. Soon after beginning work for REO, West finds that ROE has been conducting all its securities transactions through her brother who is a registered representative. West’s bother charges the REO commissions that are equal to the lowest available from any other broker. West’s brother tells her that if she continues doing business with him, he will give her substantial discount on all personal transactions she conducts through him.
A. West does not need to inform her employer of the arrangement because the commission her brother charges the firm is the lowest possible.
B. West must inform her employer of the arrangement because she is doing business with a member of her immediate family
C. West does not need to inform her employer of the arrangement because REO had been doing business with her brother before she was hired
D. West must reject the arrangement because it provides her with additional compensation
D是否有问题?为何不是报告上级而是拒绝?
谢谢
作者: yangnan042 时间: 2005-4-30 23:31
good
作者: jcman 时间: 2005-5-6 16:05
thanks a lot
作者: flyingtony 时间: 2005-6-1 22:34
尽管案例不多,分享精神赞,而且是问了怎么上传才分享的。
作者: gjl 时间: 2005-6-6 11:48
thanks
作者: qkent 时间: 2005-6-18 16:25
thank you so much for sharing the materials~
作者: 黑马宝贝 时间: 2005-6-27 13:36
谢谢!!
作者: lfcb 时间: 2005-7-3 22:22
thanks
作者: xixi001123 时间: 2005-7-28 17:42
好人!
作者: tillie14 时间: 2005-10-15 01:34
[em01]
作者: yuwyu 时间: 2005-10-18 09:45
h
作者: weinney 时间: 2005-11-8 14:13
thx
作者: vapour2008 时间: 2006-9-27 14:39 标题: 谢谢
谢谢
作者: amitchopra 时间: 2006-11-9 00:20
tnx
作者: linkwithyo 时间: 2007-3-30 13:48
ok
作者: 入画 时间: 2007-4-20 14:10
谢谢
作者: cathylee82 时间: 2007-4-22 02:08
看看
作者: deanwj 时间: 2007-4-22 11:02
classic
作者: l1he 时间: 2007-5-18 17:51
ding
作者: l1he 时间: 2007-5-18 17:51
ding
作者: lunweicfa 时间: 2007-12-31 10:32
thx
作者: tweety0930 时间: 2008-12-4 21:55
[em01]
作者: sonical 时间: 2009-5-28 22:13
thanks
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