标题: CFA L1 道德 有一题来讨论一下[答案给得很**] [打印本页] 作者: optiix 时间: 2012-6-7 12:16 标题: CFA L1 道德 有一题来讨论一下[答案给得很**]
投资专员, 已经帮人理财几十年, 人奖励他一家去海边度假. 投资专员太忙, 没和任何人说自己假期去哪里.
问: 如果接受了这个奖励, 最不可能违反的是?
A. Loyalty to Employer
B. Discosure of Conflict
C. Independence and Objectivity
我一点没迟疑得选了C啊! 要说他私自接受公司的客户礼物不让雇主知道损害了雇主利益, 以及可能造成他偏袒出现conflict, 他受的客户对他的过去表现的奖励不大可能影响他的professionalism 里的 Independence and Objectivity吧?
但是答案给得很**(彼时激动了)
1.我们要求: 不得接受任何有可能侵犯雇主利益的礼物除非所有方面书面同意.
2.这样的礼物安排可能会出现conflict
3.可能会让投资专员出现偏心, 影响Independence and Objectivity
这答案不是意思是ABC都很可能违反吗?
闹哪样啊.
另外给出原题和答案解析
For the past decade, Rachel Pederson, CFA, has managed the account of Olga
Stefansson and in that time developed a close relationship with her client. Stefansson
has a beach house in the Bahamas which she offers to Pederson and her family free
use of for two weeks as a reward for the excellent returns generated in her account.
Pederson is so busy at work she does not tell anyone where she is going for vacation.
When accepting Stefansson’s offer, Pederson least likely violates the CFA Institute
Standard relating to:
A. Loyalty to Employer.
B. Disclosure of Conflicts.
C. Independence and Objectivity.
Answer: A
“Guidance for Standards I-VII,” CFA Institute
2009 Modular Level I, Volume 1, pp. 21-22, 69, 75, 89
Study Session 1–2–a
Demonstrate a thorough knowledge of the Code of Ethics and Standards of
Professional Conduct by applying the Code and Standards to situations involving
issues of professional integrity.
The Standards require that members not accept gifts or compensation that might
reasonably compete with their employer’s interest unless they obtain written consent
from all parties involved. Arrangements such as that offered to Pederson may cause a
conflict of interest or result in partiality that could impede Pederson’s independence and objectivity.
Mock 2009 Afternoon.
答案解释如下:
The Standards require that members not accept gifts or compensation that might
reasonably compete with their employer’s interest unless they obtain written consent
from all parties involved. Arrangements such as that offered to Pederson may cause a
conflict of interest or result in partiality that could impede Pederson’s independence
and objectivity.
纳闷儿啊!作者: mp3bu 时间: 2012-6-7 12:16
“Loyalty. In matters related to their employment, Members and Candidates
must act for the benefit of their employer and not deprive their employer of the
advantage of their skills and abilities, divulge confidential information, or
otherwise cause harm to their employer.” from notes作者: Kapie 时间: 2012-6-7 12:16
