為什么有利益沖突？能不能請老師解釋一下，謝謝
沒有通過二級考試但是向雇主宣稱已經(jīng)通過二級考試為什么不違反C選項CFA member的要求呢？
為什么不是C先咨詢
這里應該是違反了fair dealing吧？指客戶們之間的交易公平性。而選項中priority of transaction不應當是針對客戶交易和自己賬戶交易順序嗎？
只要違反referralfee 就違反loyalty這條嗎？做題的時候，只要看到違反了fee 就可以選擇兩個都違反嗎
他謊稱自己passed level II exam, 不算違反referencing CFA candidacy 嗎？
BC的區(qū)別是B在公司內(nèi)部建立程序，C是監(jiān)控？我看BC都是投行和broker間關系啊
客戶名字這種偏公開的信息也算details嗎
問下,在 I(B)中,Buy-Side clients → Sell-side analyst 買方客戶(投資經(jīng)理)向賣方客戶(分析師)施壓,威逼利誘. 買方投資經(jīng)理是指外部嗎?還是內(nèi)部?他威逼利誘的原因是?
關于Additional Compensation，為什么會對雇主利益有沖突呢？比如客戶請客吃飯，或者客戶給的好處，對雇主利益似乎也沒有損害呀？
b和c的區(qū)別可否辨析下ya
Hannah Hostettler, CFA, is a portfolio manager at a wealth management firm. Hostettler has an arrangement with a lawyer, whereby she refers clients who need legal advice to the lawyer, who in turn refers clients to Hostettler. Because no referral fees are involved, Hostettler does not disclose this arrangement to her existing or prospective clients. Has Hostettler most likely violated the Standards?A. No.B. Yes, only by failing to disclose the arrangement to existing clients.C. Yes, both by failing to disclose the arrangement to existing clients and to prospective clients.這道題應該選什么？
為什么這兩個案例違反
你好，這道題code of ethics的六句話在課件的那一頁？謝謝
算fair value的時候，所有付費非付費自主非自主的組合全部要算進去，但是如果算業(yè)績，必須包含fee-paying discretionary，必須不包含undiscretionary，是嗎？
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