robertwen

QUOTE:

以下是引用xtajvk在2008-6-9 2:04:00的发言：

真牛.

不知道ethics如何.前面看有人说small package也不行. 不过我记得说是nominal value and ex post gift should be acceptable if it does not affect your independent and objective.

And if you get your restricted stock compensation and fully disclosed in your report, I think it should be permitted in such case. The key here is whether such additional compensation is fully disclosed so that the reader can evaluate the partiality.

I also think accepting a small package of company's promotion products did not violate the independence and objective, since this is a tiny gift and the compmay used this small package to present its thanks for cover person's great job that had been completed already.

As for restricted stock compensation, I remember that the article said the amount of restricted stock compensation was equal to equivalent amount of flat fee and this compensation was fully disclosed in the report. So there was no violation.

[此贴子已经被作者于2008-6-9 22:06:30编辑过]

robertwen

In recommended procedures of compliance. Review procedures. Members and candidates should review or encourage their employers to review written compliance procedures on a regular basis in order to ensure that they reflect current law and provide adequate guidances to empoyees concerning what is permissible conduct under the law and or the  CFA Insititue Code and Standards. Recommended compliance procedures for specific items of the CFA Insititue Code and Standards are discussed within the guidance associated with each standard.

So why not the company can establish compliance procedures  or policy based on specific items of the CFA Insititue Code and Standards?