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Wang Ning · 2023年07月07日

C为什么不对?

NO.PZ2022120703000009

问题如下:

When an asset manager receives an investment mandate from a pension fund, the asset manager:

选项:

A.assumes a fiduciary duty to the pension fund's members. B.becomes the legal owner of the assets under management. C.acts as the counterparty to investment transactions on behalf of the pension fund.

解释:

A is correct because the asset manager is "required to act as a fiduciary to clients."

B is incorrect because "asset managers … are not legal owners of their assets under management."

C is incorrect because "asset managers … are not the counterparty to transactions or to derivatives."

C为什么不对?

2 个答案

王岑 · 2023年08月03日

嗨,努力学习的PZer你好:


我们需要先理解一下“交易对手方”的含义。在金融交易中,"交易对手方"(counterparty)通常指的是参与交易的另一方实体。例如,如果你在购买股票,那么你的交易对手方就是出售这些股票的人或机构。同样,如果你在出售债券,那么你的交易对手方就是购买这些债券的人或机构。

资产管理者在投资交易中扮演的角色通常不是交易的对手方(Counterparty),而是代表养老基金(Pension Fund)进行投资决策和交易操作。这是因为,交易对手方通常指的是与我们进行买卖交易的另一方,而资产经理则是在执行投资策略和进行交易操作时代表养老基金。

对于衍生品交易,资产管理者可能会在市场上寻找合适的对手方进行交易,但他们自己并不成为交易对手方。他们的任务是根据养老基金的投资策略和风险承受能力,寻找合适的投资机会并进行交易,而不是自身成为交易的一方。因此,选项C不正确。

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就算太阳没有迎着我们而来,我们正在朝着它而去,加油!

王岑 · 2023年07月09日

嗨,爱思考的PZer你好:


根据我们教材的内容,C选项的“代表养老基金进行投资交易的交易对手方”,这个说法是不对的。资产管理者在收到养老基金的投资委托时并不是作为交易对手方出现,他们是充当养老基金的代理人或合规代表,负责执行基金的投资策略、管理和监督基金的投资组合。资产管理者在养老基金之间进行交易时可能与其他交易对手方进行交易,但他们代表的是养老基金,而不是自身作为交易对手方。

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就算太阳没有迎着我们而来,我们正在朝着它而去,加油!

Shena · 2023年08月03日

c选项说他代表养老基金成为交易对手方,并没有说他直接是交易对手方,为什么也是错的呢?

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