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moon · 2022年08月24日

Ronoldo plans to describe the new strategy in the company’s next annual newsletter, due to be sent to clients in three months. 这句话啥意思?

* 问题详情,请 查看题干

NO.PZ201604030300005001

问题如下:

1. Does Ronoldo violate the CFA Institute Asset Manager Code of Professional Conduct with respect to his broader investment strategy?

选项:

A.

No.

B.

Yes, with respect to client disclosure only.

C.

Yes, with respect to reasonable and adequate basis only.

解释:

B is correct.

Ronoldo should have disclosed his change in investment strategy to clients, allowing them to move their accounts if not in agreement. Until he disclosed a planned change in strategy, he should have continued to manage in the manner for which clients had hired him.

Ronoldo plans to describe the new strategy in the company’s next annual newsletter, due to be sent to clients in three months.


这句话啥意思?

1 个答案

王暄_品职助教 · 2022年08月25日

R同学计划在公司的下一份年度简报中描述新战略,该简报将在三个月内发送给客户。

这里的关键点在于R同学应该在新策略应用之前就告知客户,而不是应用之后,再给客户发送。

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