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首页CFA考试CFA一级专业问答正文
What'sthemeaningof“Additionalcompensation”?
帮考网校2020-05-15 16:21
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What’s the meaning of “Additional compensation”?

Must not accept gifts, benefits, compensation, or consideration that competes with, or might reasonably be expected to create a conflict of interest with, their employer’s interest (该准则约束的是:如果收取相关好处,会影响雇主利益的情况)unless they obtain written consent from all parties involve.

“Written Consent” includes any form of communication that can be documented (for example, communication via computer e-mail that can be retrieved and documented).

Case :

①Zag, CFA, is the head of a government pension plan.  Whenever Zag hires a money management firm to work with the pension plan, she finalizes the deal over dinner at a nice restaurant.  At these meals, Zag also arranges for the money manager to provide her payments equal to 10% of the management fee the manager receives from the pension plan. Zag keeps half of the payments for her own use and distributes the remainder as cash incentives to a handful of her most trusted staff.  Zag least likely violated which of the following CFA Institute Code?

A. Referral fees .

B. Loyalty, Prudence and Care .

C. Additional Compensation Arrangements .

②Ped, CFA, has managed the account of Olga for the past decade and has a very good relationship with her client.  Olga has a beach house in the Bahamas and offers Ped and her family two free weeks at the house as a reward for the excellent returns generated in her account.  Ped is so busy at work that she does not tell anyone where she is going for vacation.  When accepting Stefansson's offer, Ped least likely violates the CFA Institute Standard relating to ?

A. Loyalty to Employer.

B. Disclosure of Conflicts.

C. Additional Compensation Arrangements.

③Singh, CFA, has a large extended family and manages the portfolios of several family members. Singh does not charge the family members a management fee, but receives a small percentage of each portfolio’s profits. 

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