金程問(wèn)答
老師好，關(guān)于第四題，我們?cè)谡n上學(xué)的non-discretionary判斷主要著眼在投資人對(duì)PM的決策施加的影響上，這個(gè)案例里面關(guān)于PM的業(yè)績(jī)是否源于機(jī)緣巧合（外部環(huán)境）是不是也是一種判斷non-discretionary的場(chǎng)景？
第一題，comment2和3不矛盾嗎？既然公司沒(méi)有義務(wù)遵守code，那公司層面只遵守當(dāng)?shù)胤ㄒ?guī)有什么問(wèn)題？考生會(huì)員自己遵守更嚴(yán)格的就好了啊
第六題第三個(gè)compensation為什么不用披露啊
請(qǐng)問(wèn)這里第八題的A：KYC，具體是個(gè)什么道德風(fēng)險(xiǎn)？
GIPS要求report中要包含external dispersion嗎？external dispersion指什么？ notes I P129例題，答案為什么說(shuō)這里展示的不是internal dispersion
未正式離職就挖老公司員工，這點(diǎn)麻煩再明確一下，是違反還是不違反IVD duty to employers？ 從common sense上來(lái)說(shuō)肯定不道德啊，否則是在變相鼓勵(lì)這種行為，我記得考2級(jí)的時(shí)候?qū)ｉT有案例題目明確是違反的，現(xiàn)在又說(shuō)不違反；而且這個(gè)視頻下面有好幾個(gè)同學(xué)問(wèn)了這個(gè)問(wèn)題，金程老師回答的都不一致，一個(gè)說(shuō)違反，一個(gè)說(shuō)不違反，麻煩統(tǒng)一下口徑。
最后一題，我記得1級(jí)的時(shí)候好像有印象說(shuō)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)？
還沒(méi)有離職，挖角老員工，不違反對(duì)雇主忠誠(chéng)嗎？
Q6，作為一個(gè)基金經(jīng)理，此時(shí)正確的英文回答怎么說(shuō)既滿足CFA，又能把客戶對(duì)自己的負(fù)面感官降至最低，維護(hù)好光輝的職業(yè)形象。
第4題，為什么還要得到朋友的許可？
為什么這里的做法和講義上的不一致啊
老師，您好，以下內(nèi)容為啥沒(méi)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(méi)有以best execution為原則來(lái)推薦broker/dealer，應(yīng)該違反了standards
Q4, 邏輯上來(lái)說(shuō)，為什么Equity ratio降低，反而會(huì)使得shareholder equity value的volatility變大？
精 請(qǐng)問(wèn)這題答案說(shuō)T沒(méi)有違反MNI規(guī)定，因?yàn)樗皇谦@知信息而沒(méi)有實(shí)際操作，可是緊接著下一題的答案就是T違反了MNI，這兩題不是矛盾嘛
程寶問(wèn)答
