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?