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momo · 2023年08月18日

needs

NO.PZ2015121801000120

问题如下:

Which of the following typical topics in an investment policy statement (IPS) is most closely linked to the client’s "distinctive needs"?

选项:

A.

Procedures.

B.

Investment Guidelines.

C.

Statement of Duties and Responsibilities.

解释:

B  is correct.

According to the reading, "The sections of an IPS that are most closely linked to the client’s distinctive needs are those dealing with investment objectives and constraints." Investment Guidelines "[provide] information about how policy may be executed, including investment constraints." Procedures "[detail] the steps to be taken to keep the IPS current and the procedures to follow to respond to various contingencies." Statement of Duties and Responsibilities "detail[s] the duties and responsibilities of the client, the custodian of the client’s assets, the investment managers, and so forth."

为什么不能选c呢。。。

1 个答案

Kiko_品职助教 · 2023年08月21日

嗨,努力学习的PZer你好:


问的是哪一个和客户的独特需求联系最紧密?

只有B选项Investment guidelines,根据客户需求制定投资规范,描述policy如何执行,包括policy中的投资限制。

C选项Statement of Duties & Responsibilities描述客户、投资经理、客户资产托管的应尽义务和责任。它并不描述客户独特需求。


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