金程問(wèn)答
請(qǐng)問(wèn)這些資料是要永久保存還是保存至一定年限就可以銷(xiāo)毀呢？
jackman向任何加入其公司的顧問(wèn)提供10,000美元的獎(jiǎng)勵(lì)，我理解jackman應(yīng)該是在招攬雇員，而非客戶吧？招攬雇員是不違反道德的呀！
Independent practice 與公司有競(jìng)爭(zhēng)的情況下，獲得公司同意，可否開(kāi)展?
為什么有利益沖突？能不能請(qǐng)老師解釋一下，謝謝
沒(méi)有通過(guò)二級(jí)考試但是向雇主宣稱已經(jīng)通過(guò)二級(jí)考試為什么不違反C選項(xiàng)CFA member的要求呢？
為什么不是C先咨詢
這里應(yīng)該是違反了fair dealing吧？指客戶們之間的交易公平性。而選項(xiàng)中priority of transaction不應(yīng)當(dāng)是針對(duì)客戶交易和自己賬戶交易順序嗎？
只要違反referralfee 就違反loyalty這條嗎？做題的時(shí)候，只要看到違反了fee 就可以選擇兩個(gè)都違反嗎
他謊稱自己passed level II exam, 不算違反referencing CFA candidacy 嗎？
BC的區(qū)別是B在公司內(nèi)部建立程序，C是監(jiān)控？我看BC都是投行和broker間關(guān)系啊
客戶名字這種偏公開(kāi)的信息也算details嗎
問(wèn)下,在 I(B)中,Buy-Side clients → Sell-side analyst 買(mǎi)方客戶(投資經(jīng)理)向賣(mài)方客戶(分析師)施壓,威逼利誘. 買(mǎi)方投資經(jīng)理是指外部嗎?還是內(nèi)部?他威逼利誘的原因是?
關(guān)于Additional Compensation，為什么會(huì)對(duì)雇主利益有沖突呢？比如客戶請(qǐng)客吃飯，或者客戶給的好處，對(duì)雇主利益似乎也沒(méi)有損害呀？
b和c的區(qū)別可否辨析下ya
Hannah Hostettler, CFA, is a portfolio manager at a wealth management firm. Hostettler has an arrangement with a lawyer, whereby she refers clients who need legal advice to the lawyer, who in turn refers clients to Hostettler. Because no referral fees are involved, Hostettler does not disclose this arrangement to her existing or prospective clients. Has Hostettler most likely violated the Standards?A. No.B. Yes, only by failing to disclose the arrangement to existing clients.C. Yes, both by failing to disclose the arrangement to existing clients and to prospective clients.這道題應(yīng)該選什么？
程寶問(wèn)答
