CFA L1 道德 有一题来讨论一下 海边, 去哪里, conflict, 礼物, 影响

LorrinCFA

投资专员, 已经帮人理财几十年, 人奖励他一家去海边度假. 投资专员太忙, 没和任何人说自己假期去哪里.
问: 如果接受了这个奖励, 最不可能违反的是?
A. Loyalty to Employer
B. Discosure of Conflict
C. Independence and Objectivity

我一点没迟疑得选了C啊! 要说他私自接受公司的客户礼物不让雇主知道损害了雇主利益, 以及可能造成他偏袒出现conflict, 他受的客户对他的过去表现的奖励不大可能影响他的professionalism 里的 Independence and Objectivity吧?

但是答案给得很**(彼时激动了)
1.我们要求: 不得接受任何有可能侵犯雇主利益的礼物除非所有方面书面同意.
2.这样的礼物安排可能会出现conflict
3.可能会让投资专员出现偏心, 影响Independence and Objectivity

这答案不是意思是ABC都很可能违反吗?
闹哪样啊.

另外给出原题和答案解析

For the past decade, Rachel Pederson, CFA, has managed the account of Olga
Stefansson and in that time developed a close relationship with her client. Stefansson
has a beach house in the Bahamas which she offers to Pederson and her family free
use of for two weeks as a reward for the excellent returns generated in her account.
Pederson is so busy at work she does not tell anyone where she is going for vacation.
When accepting Stefansson’s offer, Pederson least likely violates the CFA Institute
Standard relating to:
A. Loyalty to Employer.
B. Disclosure of Conflicts.
C. Independence and Objectivity.
Answer: A
“Guidance for Standards I-VII,” CFA Institute
2009 Modular Level I, Volume 1, pp. 21-22, 69, 75, 89
Study Session 1–2–a
Demonstrate a thorough knowledge of the Code of Ethics and Standards of
Professional Conduct by applying the Code and Standards to situations involving
issues of professional integrity.
The Standards require that members not accept gifts or compensation that might
reasonably compete with their employer’s interest unless they obtain written consent
from all parties involved. Arrangements such as that offered to Pederson may cause a
conflict of interest or result in partiality that could impede Pederson’s independence and objectivity.

我研究半天的理解是, ABC都可能违反, 但是如果在接受礼物时, 不可能告诉老板时(比如太忙-_-), 是可以先接受后告知的.
所以"When accepting Stefansson’s offer", 老板的利益还不能判定损害?

我理解老板的利益的损害的主要原因是投资专员接受度假礼物后可能会区别对待（partiality）， 而不能对老板的其他客户公平对待，从而损害老板的利益，这样理解对吗？

yalo

说得是, 还是得多看书. 我是一个半月内要交出两篇期末课程论文和5月28日的一门期末考试,然后要过CFAL1.  所以只看了notes(经济学还没耐心看完),然后开始做题, 目前是把sample做了09-12, 所以开始做mock, 感觉mock格式更加像模拟考试(也跟sample的获取不容易有关,题目不完整或者有改动,答案可能明显错误), 还有就是sample每次都要做完sample 1 的一块儿再转sample 2 的一块儿, 10门科目120道题目转来转去9次的很麻烦. 不过初步感觉sample比mock要复杂,当然我mock做得不算多. 我觉得你的方法更好啊, 3遍notes什么题都解决了. 这个题目是09年的mock下午题.

ninja1024

第一感觉就是A

neil1234

loyalty to employer指的是有损employer的利益

“Loyalty. In matters related to their employment, Members and Candidates
must act for the benefit of their employer and not deprive their employer of the
advantage of their skills and abilities, divulge confidential information, or
otherwise cause harm to their employer.” from notes

wilslm

版主大大可否稍微解释一下呢? 实在是明白不能.  过几天还有另一门期末考, 压力山大...
非常万分以及超级感谢啊!

redskins44

Mock 2009 Afternoon.
答案解释如下:
The Standards require that members not accept gifts or compensation that might
reasonably compete with their employer’s interest unless they obtain written consent
from all parties involved. Arrangements such as that offered to Pederson may cause a
conflict of interest or result in partiality that could impede Pederson’s independence
and objectivity.
纳闷儿啊!