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今天也要来一杯 · 2022年08月23日

道德

  1. CFA III
  2. Ethics

NO.PZ2016040303000004

问题如下：

Which of the following statements clearly conflicts with the recommended procedures for compliance presented in the CFA Institute Standards of Practice Handbook?

选项：

A.

Firms should disclose to clients the personal investing policies and procedures established for their employees.

B.

Prior approval must be obtained for the personal investment transactions of all employees.

C.

For confidentiality reasons, personal transactions and holdings should not be reported to employers unless mandated by regulatory organizations.

解释：

C  is correct.

This question asks about compliance procedures relating to personal investments of members and candidates. The statement in answer C clearly conflicts with the recommended procedures in the Standards of Practice Handbook. Employers should compare personal transactions of employees with those of clients on a regular basis regardless of the existence of a requirement by any regulatory organization. Such comparisons ensure that employees’ personal trades do not conflict with their duty to their clients, and the comparisons can be conducted in a confidential manner. The statement in answer A does not conflict with the procedures in the Handbook. Disclosure of such policies will give full information to clients regarding potential conflicts of interest on the part of those entrusted to manage their money. Answer B is incorrect because firms are encouraged to establish policies whereby employees clear their personal holdings and transactions with their employers.

请问这道题考的是什么？没看懂，可以解释下题干和答案么


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王暄_品职助教 · 2022年08月24日

问：以下哪一个选项违背CFA准则？

C：出于保密性，基金经理个人交易和持仓不用汇报给公司，除非当地监管有要求（错误）

CFA协会并没有禁止员工汇报持仓和个人交易，反而鼓励一些公司制定相关政策，让员工定时汇报个人持仓情况，目的是为了防止员工的老鼠仓现象或者其他损害客户利益的现象。

今天也要来一杯 · 2022年08月26日

谢谢

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