金程問(wèn)答
如果不取酬的競(jìng)爭(zhēng)性行為與雇主利益沖突也要書面許可嗎？比如給不收費(fèi)的家庭賬戶做投資，比如父母、兄弟？完全沒有利益上的關(guān)聯(lián)，但會(huì)促進(jìn)和諧關(guān)系，這算額外報(bào)酬嗎？
另外，case并沒有說(shuō)公司官方blog發(fā)布的內(nèi)容是收費(fèi)項(xiàng)目，轉(zhuǎn)發(fā)公司內(nèi)容算泄露機(jī)密信息嗎，如果是免費(fèi)的內(nèi)容也不能算利用公司財(cái)產(chǎn)為個(gè)人牟利吧？
沒過(guò)二級(jí)說(shuō)過(guò)了，這不違反C嗎
還有這道題為什么違法交易優(yōu)先順序？分析師任何的買賣行為都要優(yōu)先讓給客戶和雇主嗎？如果客戶和雇主不愿意買賣呢？
A選項(xiàng)是啥意思，沒理解
A把law改成standards就對(duì)了嗎？B是為了推薦產(chǎn)品付給別人好處費(fèi)？
C選項(xiàng)，對(duì)vip客戶可以有適當(dāng)偏袒？
請(qǐng)問(wèn)客戶為什么是受托人而不是委托人trustor?
老師這一道題目為什么違反了利益沖突呢？
R60的案例"Estevez",既然關(guān)于C選項(xiàng)的解析文字已經(jīng)寫了如下這段：“Estevez's involvement in the process of choosing the companies that BIR agrees to research presents a conflict of interest because she might favor those companies that pay her the bonus." 那為什么正確答案又不是A，并且在A的解析里說(shuō)Issuer-paid research itself is not automatically unethical nor does it automaticaly compromise an analyst's independence and objectivity. However this area is filled with potential conflicts." 是不是說(shuō)接受付費(fèi)以后向相關(guān)企業(yè)提供覆蓋報(bào)道這件事本身，只要不在報(bào)道的內(nèi)容上有偏頗， 那么只要雇主書面統(tǒng)一就沒事了？本身覆不覆蓋某個(gè)企業(yè)由它給不給主人公錢這件事，本身沒有問(wèn)題嗎？
老師，C選項(xiàng)為什么不正確呢？
老師可以解釋一下A選項(xiàng)為什么違反了嗎？
Merchant Capital Partners, a regional investment bank, acts as a market maker for Vital Link Health Services and other small firms listed on an over-the-counter exchange. For those shares for whom Merchant acts as market maker, it trades for its own book as well as engaging in risk arbitrage trading. Merchant allows staff members to trade in shares once clients and the company have traded. Merchant recently obtained material nonpublic information regarding Vital’s planned reverse takeover of a publicly listed competitor. In order to be in compliance with the CFA Institute Code and Standards, which type of trading in Vital shares should Merchant least likely suspend? A Personal B Risk arbitrage C Passive proprietary 這個(gè)題不會(huì)
可以解釋一下這題嗎？low-yield small-cap到底是高風(fēng)險(xiǎn)還是低風(fēng)險(xiǎn)呢？
從哪兒看出來(lái)她以主要投資者的身份投資的呢
程寶問(wèn)答
