一道Level 1的 ethical

standard, vacation, generated, house

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

dannygzs

CFA New Member

Rank: 1

UID: 108501
帖子: 50
主题: 7
注册时间: 2008-9-13
最后登录: 2019-4-17

2^#

发表于 2009-5-25 18:27 | 只看该作者

我觉得可能是D，大家一起探讨

TOP

ringthomas2008

CFA New Member

Rank: 1

UID: 133813
帖子: 8
主题: 1
注册时间: 2009-5-24
最后登录: 2009-6-8

3^#

发表于 2009-5-25 18:38 | 只看该作者

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

TOP

talkieli

CFA New Member

Rank: 1

UID: 109132
帖子: 33
主题: 2
注册时间: 2008-9-20
最后登录: 2011-5-17

4^#

发表于 2009-5-25 20:25 | 只看该作者

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。

TOP

dannygzs

CFA New Member

Rank: 1

UID: 108501
帖子: 50
主题: 7
注册时间: 2008-9-13
最后登录: 2019-4-17

5^#

发表于 2009-5-25 20:50 | 只看该作者

Sorry, 读错题目了，又是the least.....

TOP

zyystein

CFA New Member

Rank: 1

UID: 121638
帖子: 46
主题: 1
注册时间: 2009-2-2
最后登录: 2010-4-7

6^#

发表于 2009-5-26 10:21 | 只看该作者

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。