備考CFA道德是基礎(chǔ)知識(shí)，但是很多考生在備考中不重視這個(gè)科目的學(xué)習(xí)，正在備考2022年CFA考試的你一定要知道，CFA道德在考試中關(guān)系你的通過，所以在備考中你的知識(shí)點(diǎn)如何？

Jane Norse, CFA, is the manager of the Beckman Company’s pension fund, which substantially outperformed its benchmark this year. John Beckman is extremely pleased with the fund’s performance and offered Norse and five of her friends an all-expenses-paid trip to Hawaii with accommodations at a nearby five-star resort. Prior to her trip, Norse described the details of the entire trip to her supervisor in writing. She subsequently completed the trip. According to the Standards of Practice Handbook, has Norse violated any CFA Institute Standards of Professional Conduct?

A. Yes, because she cannot accept gifts valued at over US$100 from clients.

B. Yes, because accepting the gift will compromise her independence and objectivity.

C. No

Correct answer = C

Additional compensation arrangement can be received only after the written consent from all parties.


對(duì)于Additional compensation arrangements，需要披露且得到雇主的書面同意，題目中說，他披露了，但是他未提及是否得到書面同意。我們說，顧客的禮物是可以接受的，A和D（可以接受，但是要揭露且得到書面同意）的表述是不對(duì)的；另外，既然披露了，他就沒有違反conflict of interest。 此題，可以選擇答案為：Yes, because she accept client’s gift without employer’s written consent，就可以選這個(gè)了。從本題的描述中，A,B都不是確切的選項(xiàng)。