米同學(xué)
2019-12-08 21:41圖1第二段，說Hill收了禮。圖2第二段為什么說沒有違反IV(B)？而且這個(gè)講解的理由和結(jié)論的因果關(guān)系我沒太明白
所屬：CFA Level III > Ethical and Professional Standards 視頻位置 相關(guān)試題
來源： 視頻位置 相關(guān)試題
1個(gè)回答
Chris Lan助教
2019-12-09 09:16
該回答已被題主采納
同學(xué)你好，你這個(gè)書好像是舊版的，今年的原版書對(duì)這個(gè)CASE進(jìn)行了改寫，可能以前的寫法不好，所以你看不明白。
Hill has become the main media engagement person for the VCF and LL. He has a half-hour show on “Sky News Business Channel,” writes a weekly financial column for Australian Financial Review, and regularly appears on daytime and evening talk shows, where he talks about the VCF and its holdings. Like the other guests on these shows, Hill does not receive financial compensation for his appearances. Instead, the shows’ sponsors provide him with “thank you gift bags,” containing wine, retail gift cards, restaurant gift certificates, and travel discounts on hotels and airfare. Hill does not disclose the receipt of these gift bags to LL.
其實(shí)他是因?yàn)閰⒓与娨暪?jié)目，節(jié)目方不給錢，給了他一些非貨幣的禮物。所以這和客戶之間沒利益沖突
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追問
謝謝。那其實(shí)也就是說，如果這些compensation不是基金管理者從客戶處（case中hill和這些節(jié)目不是管理者和客戶的關(guān)系）得到的話，就不會(huì)違規(guī)。這種說法我感覺聽起來也比較合理
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追答
同學(xué)你好
是這個(gè)樣子的。
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