标题: general ethics questions [打印本页] 作者: thisisbrianly 时间: 2013-4-16 13:06 标题: general ethics questions
client: wow, you really outperformed the market last quarter. if you do it again this quarter, you can use my apartment in london and my courtside tickets for wimbledon
my question. is this ok? given that it’s forward performance. i realize if it’s ok you would need employer approval or at least disclosure
and CFA questions drive me nuts. i guess you need employer approval, but i’m not sure how they go about it logically…….. if you just can’t accept the gift, then is employer approval irrelevent.
ok, now i’m really confused………. if it was wimbledon tix and an apartment for last quarter, do i need to disclose and/or get written approval??…….. my original question was about the customer offer being forward-looking.
i find this type of stuff really frustrates me……. LOL, could be the operator too.
thanks in advance!!!作者: d2rockstar 时间: 2013-4-16 13:09
My understnading under additional compensation agreement is that written consent is required from employer (for direct and indirect compensation from client or even third parties).
Rationale for disclosure and agreement by employer is to enable them to assess and monitor if there is any conflict of interest such that there may arise a lack of independence and objectivity from employee’s perspective.
