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Ironlung · 2024年01月05日

有关compensation

  1. CFA III
  2. Ethics

* 问题详情，请 查看题干

NO.PZ201604030300004306

问题如下：

6. Are the seminar speaker’s Statements 3 and 4, respectively, sufficient to meet the requirements of related CFA Institute Standards?

选项：

Statement 3
Statement 4
A.
No
No
B.
No
Yes
C.
Yes
No

解释：

B is correct.

Statement 3 is incorrect. The disclosure of a conflict should be made — prominently and in plain language — regardless of whether the member views the conflict as material, so the client can determine the materiality of the conflict. Statement 4 is in compliance with CFA Institute Standards. The Mahsud Financial disclosure requirement meets CFA Institute Standards. Gifts from clients should be disclosed to the employer, which is responsible for determining whether the gift could affect the employee’s independence and objectivity.

我想做个对比，

这道题和 No.PZ2016040303000042 - Elias Nano那个case的第六题-


题干：

4. Violations

Any violation of the Markoe Advisors compliance policy statement will be reported to the president, and employees will receive an official warning.

 

5. Compensation

All staff members of Markoe Advisors will discuss with their supervisor all outside compensation that they are receiving or may receive.


question：Does Nano’s draft compliance policy statement conform to the CFA Institute Code and Standards with respect to: violation & compensation？


我想请问这两道题主要的区别就是题干描述不同，一个说的是discuss 另一个说的是disclose？但是都没有提及written permission。 但是Elias Nano case里compensation的描述是错误的答案解释是没有说written permission。 同样这道题也没有提及written permission为什么就是对的？





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王暄_品职助教 · 2024年01月05日

1、因为本题的Statement 4，是特意针对独立客观性这一条

只要披露，就不违反I(B)独立客观性，但如果没收到雇主的同意就收了，那么虽然不违反I(B)，但违反IV(B)addditional compensation这条。



2、而针对另一个问题，主要想考察的就是addtional comepsation这一条，那么只披露是不够的，必须收到雇主同意

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NO.PZ201604030300004306 问题如下 6. Are the seminspeaker’s Statements 3 an4, respectively, sufficient to meet the requirements of relateCFA Institute Stanr? Statement 3Statement 4 A.NoNo B.NoYes C.YesNo B is correct.Statement 3 is incorrect. The sclosure of a conflishoulma — prominently anin plain language — regaress of whether the member views the conflimaterial, so the client ctermine the materiality of the conflict. Statement 4 is in complianwith CFA Institute Stanr. The MahsuFinancisclosure requirement meets CFA Institute Stanr. Gifts from clients shoulscloseto the employer, whiis responsible for termining whether the gift coulaffethe employee’s inpennanobjectivity. 人家表述是我现在对于被认定为重大的conflicts应该要做的事情，那确实需要披露啊，那这样做没毛病啊，难道不披露吗？解析扯什么要对所有的conflicts，人家只是问你这句话对不对，又没说其他非重大的conflicts就不披露了，这种考法真的很无语。

2023-07-26 16:34 1 · 回答

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2022-03-31 10:07 2 · 回答

NO.PZ201604030300004306 No Yes Yes No B is correct. Statement 3 is incorrect. The sclosure of a conflishoulma — prominently anin plain language — regaress of whether the member views the conflimaterial, so the client ctermine the materiality of the conflict. Statement 4 is in complianwith CFA Institute Stanr. The MahsuFinancisclosure requirement meets CFA Institute Stanr. Gifts from clients shoulscloseto the employer, whiis responsible for termining whether the gift coulaffethe employee’s inpennanobjectivity.老师，客户给的礼物只向雇主披露就可以吗？还需要披露给其他客户吗？谢谢。

2021-09-19 16:15 1 · 回答

NO.PZ201604030300004306 No Yes Yes No B is correct. Statement 3 is incorrect. The sclosure of a conflishoulma — prominently anin plain language — regaress of whether the member views the conflimaterial, so the client ctermine the materiality of the conflict. Statement 4 is in complianwith CFA Institute Stanr. The MahsuFinancisclosure requirement meets CFA Institute Stanr. Gifts from clients shoulscloseto the employer, whiis responsible for termining whether the gift coulaffethe employee’s inpennanobjectivity.statement3错哪了？

2021-08-06 17:09 2 · 回答