标题: 一道Level 1的 ethical [打印本页]
作者: ringthomas2008 时间: 2009-5-25 17:38 标题: 一道Level 1的 ethical
Rach, CFA, managed an account for Joe for the past decade and has a
very good relationship with her client. Joe has a beach house and
offers Rach and her family 2 free weeks at the house as a reward for
good returns generated in her acct, Rach is so busy at work, she does
not tell anyone where she is going for vacation. When accepting the
offer from Joe, Rach least likely violated which standard:
A. Loyalty to employer
B. Disclosure of conflicts
C. Independence and objectivity
D. Additional Compensation Arrangements
想不明白。。。没有正确答案，我觉得可能是A
作者: dannygzs 时间: 2009-5-25 18:27
我觉得可能是D，大家一起探讨
作者: ringthomas2008 时间: 2009-5-25 18:38
我是觉得C也有可能， 因为对方本来就是客户，受客户的礼不一定一定影响objectivity和independence
并且当时人应该知道，客户送礼的意图并不是要影响他的obejectivity和independece
这个一定是属于additional compensation,并且应该是告诉employer的
作者: talkieli 时间: 2009-5-25 20:25
我觉得选A吧，因为这个并不涉及到对employer 的loyalty方面的违规，loyalty的那几条都不符合。其他选项则可以对号入座。
作者: dannygzs 时间: 2009-5-25 20:50
Sorry, 读错题目了，又是the least.....
作者: zyystein 时间: 2009-5-26 10:21
我觉得是C. A. Loyalty to employer 是错的，要written permit；D. Additional Compensation Arrangements 也是错的，很明显有；B. Disclosure of conflicts ，可能是和其他客户或者雇主有conflicts。
作者: jackchou 时间: 2009-5-26 11:19
答案是B。
A、C、D都违反了
作者: liwenlan 时间: 2009-5-26 18:08
i have ever do this question before, the answer is A .. did not violate the empolyer loyalty... agree with talkieli
作者: brightcool 时间: 2009-5-26 22:16
应该是D 不属于额外报酬 是已存在的客户关系
接受客户对于已存在的业务所送的礼物 只需要对雇主披露即可
作者: chenghao1 时间: 2009-5-27 02:38
没错，应该是A
| 欢迎光临 CFA论坛 (http://forum.theanalystspace.com/) |
Powered by Discuz! 7.2 |