CFA道德知识贯穿CFA一二三级考试,在CFA考试中CFA道德知识你是不是掌握了呢?在CFA道德中有Additional compensation知识点,这个知识点如何理解?考试题是怎样的呢?
小编给你说,Additional compensation是额外报酬,额外报酬需要获得利益相关方(尤其是雇主)的书面同意后才能收。那CFA考试题是怎样的呢?
Jurgen is a portfolio manager. One of her firm’s clients has told Jurgen that he willcompensate her beyond the compensation provided by her firm on the basis of the capital appreciation of his portfolio each year. Jurgen should:
A. Turn down the additional compensation because it will result in conflicts with the interests of other clients’ accounts.
B. Turn down the additional compensation because it will create undue pressure on her to achieve strong short-term performance.
C. Obtain permission from her employer prior to accepting the compensation arrangement.
答案:C
解析:
“额外报酬”要求:额外报酬需要获得利益相关方(尤其是雇主) 的书面同意后才能收。在这个问题里,Jurgen的一个客户说他将对资本增值部分给 予Jurgen额外的奖励,只要Jurgen在进入安排之前以书面形式向雇主披露安排并获 得她的雇主的许可。答案A和B不正确。虽然该安排可能与其他客户的利益发生冲 突并导致短期业绩压力,但只要成员和候选人向雇主披露安排并获得雇主的安排许可,他们可以签订此类协议,不违反该条款。
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