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pimpineasy

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tT
发表于 2011-7-13 13:25 | 只看该作者

2011 cfai mock question 8

2011, disclosed, question, employees, additional
I think this question was bull. How are they not violating additional comp. Arrangements when the Rayne employees don't disclose the competition to their clients? The cfai explanation makes no sense to me because Rayne is a stand alone licensed brOkerage so the employer of the sales agents is Rayne and not OAM. Further, they are clearly being comPensated by OAM fOr peddling their funds so this should be disclosed tO the clients of Rayne.

 

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cityboy

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发表于 2011-7-13 13:25 | 只看该作者
That's just the way the world works. In real life brokers get higher commissions on certain assets, ie: life insurance. Doesn't mean they have to disclose it to the person they're selling it to.

As long as the compensation is internal, no disclosure is needed.

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IAmNeil

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发表于 2011-7-13 13:25 | 只看该作者
because Additional comp. arrangements is in Duties to employers section of the code

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jmh530

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发表于 2011-7-13 13:25 | 只看该作者
Additional comp arrangements typically refer to activities outside the scope of the business, such as being mayor in one example. In addition, anyone working with a broker should be aware they are commissioned sales agents. I could see your point if this was a pm, but it is pretty clear the way things were laid out.

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