奢華的晚飯如果不用事先披露，事后一定要披露是吧，不告知雇主還是違規(guī)
這塊沒有internal dispersion的原因是因為不是full year 還是 < = 5 個 portfolio?
Mattock, head of research dept. of H&V, a brokerage firm, has decided to change recommendation for Timber from buy to sell. In line with H&V’s procedures, she orally advises other executives of recommendation change before publication. After her conversation with Frampton, one of the executives of H&V, Frampton immediately sells (front running) Timber stock from his own account and some discretionary client accounts. Other personnel also inform certain institutional customers of the changed recommendation before publication and dissemination to all H&V customers. Comment: Mattock violated Standard IV (C) by failing to supervise reasonably and adequately the actions of those accountable to her. She also must ensure that her firm has adequate procedures for unethical practice. Meanwhile, violate II(A), VI(B) Priority of Transaction. 請問為什么 違反了II(A) 投資公司的recommendation 難道算是MNI 嗎？這里公司將消息提前傳達給了一些客戶，但為什么又沒有違反III(B) ?
compliance officer的兼任問題
請問歷史業(yè)績不可調(diào)整具體是什么意思，是說舊的portfolio的業(yè)績只能留在原組合組中，不能移到新組合組里，新組合組計算業(yè)績只能從移入開始計算對嗎
我覺得這里option2不對是因為名片（客戶聯(lián)系方式）是屬于雇主資產(chǎn)，不能帶走誒
離職同事的研報，現(xiàn)同事在研報中引用，怎么樣才沒有違規(guī)？或現(xiàn)同事署名發(fā)表中引用前同事可以么
標(biāo)黃：自主決策的定義不是統(tǒng)一標(biāo)準(zhǔn)的嗎，怎么說是資管公司自己決定的呢？
我記得七大條里要求員工的外部BOD席位和交易都要向雇主/客戶披露的呀
AMC能像GIPS一樣做驗證驗算嗎？
請問A錯在哪里呢
老師，問號部分怎么理解？還是在composite里么
老師，reading32第4題，請問關(guān)于員工的personal transaction的規(guī)定是什么，employee做個人交易前需不需要得到公司的允許？以及employee需不需要定期做personal trading的披露？
請問就verify這個角度，amc與gips的差異和各自的要求應(yīng)該如何記憶比較好
CFA Level III 道德 題目問：Booth’s work for Grodi most likely 答案解析說要征得雇主同意，那為啥不選C?
程寶問答
金程問答