标题: Quick Ethics Question - What Is The Correct Answer? [打印本页] 作者: waldziuchna 时间: 2013-3-31 12:42 标题: Quick Ethics Question - What Is The Correct Answer?
Sheramy, a portfolio manager for Woodbridge Investment handles the account of Zamborino, a client of the firm. Zamborino offers to pay Sheramy a $100,000 bonus over and above her compensation from Woodbridge Investments if Sheramy achieves an 18 percent annual return for Zamborino’s account. Sheramy:
Cannot accept this offer because it is outside of her primary employment relationship with Woodbridge Investments.
Can accept this offer and disclose the bonus to her employer only if she actually achieves the performance target and receives the gift.
Cannot accept this offer because it will interfere with her independence and ability to be objective regarding investment decisions and recommendations.
Can accept this offer as long as she discloses the arrangement to her employer.作者: iteracom 时间: 2013-3-31 12:42
I put choice 3, thinking that it would compromise his independence and objectivity, and I got it wrong作者: hoangvu90 时间: 2013-3-31 12:42
4 is correct - Zamborino is a client of Woodbridge so employer consent is required.作者: bchadwick 时间: 2013-3-31 12:42
4 sounds correct , but since this amount is large ( at least to me ! ) it smacks of violation of independence and objectivity . I ‘d go with 3 ultimately作者: dvilayphet 时间: 2013-3-31 12:42
There is no evidence it interferes with Sheramy’s independence and objectivity. Disclosure and agreement from employer is all that’s required.
