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标题: 分享Ethics的案例。 [打印本页]

作者: angelaxu    时间: 2005-4-25 10:48     标题: 分享Ethics的案例。

425104752622.rar (7.19 KB)

附件: [分享Ethics的案例。] 425104752622.rar (2005-4-25 10:47, 7.19 KB) / 下载次数 910
http://www.frmspace.com/attachment.php?aid=498&k=06a3050d44cc7b056e4e57e552e87eb2&t=1716016401&sid=G6Csvs
作者: hedou    时间: 2005-4-25 19:13

West is a CFA and trust of officer for REC Trust Company. Soon after beginning work for REO, West finds that ROE has been conducting all its securities transactions through her brother who is a registered representative. West’s bother charges the REO commissions that are equal to the lowest available from any other broker. West’s brother tells her that if she continues doing business with him, he will give her substantial discount on all personal transactions she conducts through him.

A. West does not need to inform her employer of the arrangement because the commission her brother charges the firm is the lowest possible.

B. West must inform her employer of the arrangement because she is doing business with a member of her immediate family

C. West does not need to inform her employer of the arrangement because REO had been doing business with her brother before she was hired

D. West must reject the arrangement because it provides her with additional compensation

D是否有问题?为何不是报告上级而是拒绝?

谢谢


作者: yangnan042    时间: 2005-4-30 23:31

good
作者: flyingtony    时间: 2005-6-1 22:34

尽管案例不多,分享精神赞,而且是问了怎么上传才分享的。
作者: 黑马宝贝    时间: 2005-6-27 13:36

谢谢!!
作者: daifeng191    时间: 2005-7-6 10:26

hao
作者: xixi001123    时间: 2005-7-28 17:42

好人!
作者: tillie14    时间: 2005-10-15 01:34

[em01]
作者: yuwyu    时间: 2005-10-18 09:45

h
作者: weinney    时间: 2005-11-8 14:13

thx
作者: vapour2008    时间: 2006-9-27 14:39     标题: 谢谢

谢谢
作者: amitchopra    时间: 2006-11-9 00:20

tnx
作者: linkwithyo    时间: 2007-3-30 13:48

ok
作者: 入画    时间: 2007-4-20 14:10

谢谢


作者: cathylee82    时间: 2007-4-22 02:08

看看
作者: deanwj    时间: 2007-4-22 11:02

classic
作者: l1he    时间: 2007-5-18 17:51

ding
作者: l1he    时间: 2007-5-18 17:51

ding
作者: lunweicfa    时间: 2007-12-31 10:32

thx
作者: tweety0930    时间: 2008-12-4 21:55

[em01]




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