陈同学2020-12-17 11:01:40

Sarah Corner, CFA, is a portfolio manager at Golden Investment. She manages portfolios for several clients. Warren, one of her clients, was not satisfied with her investment return. In an effort to encourage Corner’s portfolio’s performance, Warren told Corner that if she can earn more than 15% return this year, he would provide round-trip tickets to Hawaii and hotel accommodations for her family. According to the CFA Institute Code and Standards, which of the following statements is most likely correct? A. Corner can inform her supervisor about the compensation after she achieves the performance and decides to take the vacation. B. Corner should write an email to her supervisor about the compensation. C. Corner does not need to do anything. 我看这题答案选B。但我觉得这题即使选B，在向上级书面披露之后，Corner也不能拿好处吧？因为好处是业绩完成前承诺的，答应此类好处有int conflict with其他客户。所以其实Corner无论是否获得雇主书面许可，他都不能答应客户这个好处。也就是说即使他不报告雇主，直接拒绝客户的好处也是不违规的。这样理解正确吗？