第二問，既然是公司安排的，那構(gòu)成additional compensation嗎
第五題，人還沒走就挖墻角這不是損害了雇主利益嗎？為什么是沒有違反？
老師，百題第三題我迷糊了。不是準(zhǔn)備考試的考生和已經(jīng)持證的人都要遵守code和道德嗎？難道通過考試之后那段時(shí)間不用遵守？
第一問，該模型也沒有說明一定不是和non-insititutional啊，為啥不能公平展示給機(jī)構(gòu)和非機(jī)構(gòu)客戶呢？
為什么這里的做法和講義上的不一致啊
第六題第三個(gè)compensation為什么不用披露啊
老師，您好，以下內(nèi)容為啥沒有離職不算solicite，謝謝/原文：Q. Townsend was recently appointed to the board of directors of a youth golf program that is the local chapter of a national not-for-profit organization. The program is beginning a new fund-raising campaign to expand the number of annual scholarships it provides. Townsend believes many of her clients make annual donations to charity. The next week in her regular newsletter to all clients, she includes a small section discussing the fund-raising campaign and her position on the organization’s board. Townsend did not violate the Code and Standards. Townsend violated the Code and Standards by soliciting donations from her clients through the newsletter. Townsend violated the Code and Standards by not getting approval of the organization before soliciting her clients.
第二題，Putin encourages the firm’s clients to trade through that broker/dealer，P沒有以best execution為原則來推薦broker/dealer，應(yīng)該違反了standards
高亮這句話不是不對(duì)嗎？沒有include嘛
請(qǐng)問這里第八題的A：KYC，具體是個(gè)什么道德風(fēng)險(xiǎn)？
最后一題，我記得1級(jí)的時(shí)候好像有印象說一般情況下公司會(huì)讓員工賬戶晚于客戶賬戶2周時(shí)間再去投資，這里5個(gè)工作日也就是1周左右，是不是時(shí)間短了點(diǎn)？
第2題，為什么不是C選項(xiàng)？
第4題，為什么還要得到朋友的許可？
老師，您好，第六題，合規(guī)直接向CEO或者董事會(huì)，匯報(bào)，president這個(gè)是什么級(jí)別呀，直接向president匯報(bào)也對(duì)嗎
carve-out是什么意思？
程寶問答
金程問答