开发者:上海品职教育科技有限公司 隐私政策详情

应用版本:4.2.11(IOS)|3.2.5(安卓)APP下载

李梦璐 · 2023年08月27日

投资mandate

* 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.

对于不符合mandate的投资不是直接就不行么?难道事先披露给投资者之后就可以改变策略不按照mandate执行么?

1 个答案

王暄_品职助教 · 2023年08月27日

如果需要改变,需要告知投资者(可能有的时候改变会更好),然后投资者同意,再进行投资;不同意则需要按照原来的要求进行投资

  • 1

    回答
  • 0

    关注
  • 288

    浏览