金程問(wèn)答
長(zhǎng)期的投資目標(biāo)和短期的獎(jiǎng)金之前會(huì)產(chǎn)生沖突,此時(shí)應(yīng)該disclose.在這個(gè)好像 都有吧?需要披露什么呢 ?獎(jiǎng)金的金額?
完整的題目我搜了一下，描述中沒(méi)有提及fairdealing的問(wèn)題所以選擇A嗎Robin Herring, CFA, is a government bond research analyst. A competitor credit rating agency just downgraded the bonds of a government Herring follows. Herring notes that all of the information in the competitor’s report was covered in his analysis published last week. In the past, Herring has been slow to downgrade bonds, so he starts to doubt his own analysis after seeing the competitor’s report. Herring decides to reissue his credit rating of this government bond and match the competitor’s downgrade. In his revised report, Herring states that new information has been made available to justify the downgrade. Herring posts the revision on the credit rating agency’s website and provides it by e-mail to all clients who received the original. Herring’s rating change least likely violated which of the following CFA Institute Code of Ethics and Standards of Professional Conduct?A.Diligence and reasonable basisB.Fair DealingC.Communication with clients
題目中好像并沒(méi)有說(shuō)report是公司財(cái)產(chǎn)所以無(wú)法判斷是不是額外收入？
press_release應(yīng)該是public_relation_firm的管轄，因?yàn)椴皇墙鹑跈C(jī)構(gòu)所以和CFA無(wú)關(guān)呀
為什么A和B不行，發(fā)現(xiàn)有問(wèn)題，而且還是管理人員，那就有權(quán)利改正，改正后就沒(méi)問(wèn)題了呀
35題老師說(shuō)錯(cuò)在沒(méi)有公平對(duì)待新客戶。老客戶享有一定權(quán)益不應(yīng)該是OK的嗎？（VIP_service這個(gè)知識(shí)點(diǎn)）。VIP_service都可以有什么呢？
34題為什么不給全部的人發(fā)郵件？這樣不就是非fair_dealing了嗎？放在官網(wǎng)客戶也不一定經(jīng)常去看但email會(huì)收到通知
33題，難道客戶不應(yīng)該是members嗎，所以要按照members的意愿而不是trust?
這不屬于事前承諾嗎。如果你做的好，我就給你額外報(bào)酬，獨(dú)立客觀性。你給我額外報(bào)酬，我多關(guān)注你的賬戶，公平交易。這些應(yīng)該都是違反的吧。只是選項(xiàng)中沒(méi)有，所以C最合適？
最后一個(gè)題目,如果不能要求 公司按照CFA標(biāo)準(zhǔn)去做,但是又要求公司有有效的監(jiān)管體系,那么這個(gè)份有效的 監(jiān)管體系怎么衡量有效還是不有效 呢?
這里為什么違反了IVB，應(yīng)該是違反了IVA吧
如何備考
題干中不是已經(jīng)提到通知客戶后在修改最新材料的么？這樣不算是一種及時(shí)溝通么？還有公司因?yàn)槿肆Σ粔蚋淖儾呗赃@算是合理的調(diào)整么？
公司遵守GIPS可以自愿去驗(yàn)證。請(qǐng)問(wèn)第三方驗(yàn)證機(jī)構(gòu)是專(zhuān)門(mén)做驗(yàn)證的、且有資質(zhì)的機(jī)構(gòu)嗎？還是說(shuō)只要是第三方機(jī)構(gòu)就可以
偷聽(tīng)來(lái)的消息，我沒(méi)有做research就更改投資建議，是違規(guī)的；如果偷聽(tīng)到某個(gè)消息，我回去認(rèn)真做了research，覺(jué)得聽(tīng)來(lái)的結(jié)論是正確的，我之前給客戶的recommendation是錯(cuò)誤的，這種情況下更改投資建議違規(guī)嗎？
程寶問(wèn)答
