以下是引用ly8913在2009-12-7 5:30:00的发言：
4. 某CFA，给经纪公司很高的referral fee，可是并未向客户进行披露，于是违反了道德，问：只需披露referral fees ongoing还是需要披露fee的具体比率。我纠结半天选了只披露ongoing~~zhiiqianvolume 2里做过一道题，答案上说fee的具体内容属于不需要披露的内容，只需要披露detail就可以了，那MMD具体fee的数额为什么不算detail就只有那帮写答案的人能解释了。。。这题也极不确定。。。
book里原话是这么说的：
In addition, the member or candidate must disclose the nature of the consideration or benefit----for example, flat fee or percentage basis, one-time or continuing benefit, based on performance, benefit in the form of provision of research or other noncash benefit----together with the estimated dollar value.
依此看来，似乎并不需要披露具体的比率
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发表于 2009-12-8 08:52
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