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开泰-王飞 · 2022年12月20日

文中写了他得到前雇主允许展示业绩,里面也没有说他没展示自己的相应的职责,为何a不对?

NO.PZ2016040303000039

问题如下:

Paper was recently terminated as one of a team of five managers of an equity fund. The fund had two value-focused managers and terminated one of them to reduce costs. In a letter sent to prospective employers, Paper presents, with written permission of the firm, the performance history of the fund to demonstrate his past success.

选项:

A.

Paper did not violate the Code and Standards.

B.

Paper violated the Code and Standards by claiming the performance of the entire fund as his own.

C.

Paper violated the Code and Standards by including the historical results of his prior employer.

解释:

B  is correct.

Answer Paper has violated Standard III(D) –Performance Presentation by not disclosing that he was part of a team of managers that achieved the results shown. If he had also included the return of the portion he directly managed, he would not have violated the standard. Thus, answer A is incorrect. Answer C is incorrect because Paper received written permission from his prior employer to include the results.

1 个答案

笛子_品职助教 · 2022年12月21日

嗨,从没放弃的小努力你好:


文中写了他得到前雇主允许展示业绩,里面也没有说他没展示自己的相应的职责,为何a不对?

Paper was recently terminated as one of a team of five managers of an equity fund,这里说明他只是5个基金经理团队中的一员。投资决策是5人团队共同作出的。


而Paper presents, with written permission of the firm, the performance history of the fund to demonstrate his past success.在这里,他在业绩陈述的时候说,这个基金的收益就证明了他的过去的成功。


所以这是不对的。


这个基金的收益,是5个人共同决策的成果。而他把这个5人共同决策的成果,都归功于他一人。

所以业绩陈述不当,违反了CFA道德准则中的业绩陈述条款。


A说没有违反,因此不选A。

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2020-10-07 22:10 1 · 回答

此题不是有说得到了written permission了么?为何也不能披露过去业绩

2019-03-30 19:20 1 · 回答