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Kate · 2023年10月08日

老师可以翻译一下这题吗,没太明白

NO.PZ2023021602000006

问题如下:

Carlos Cruz, CFA, is one of two founders of an equity hedge fund. Cruz manages the fund's assets, and the other co-founder, Brian Burkeman, CFA, is responsible for fund sales and marketing. Cruz notices the most recent sales material used by Burkeman indicates assets under management are listed at a higher value than the current market value. Burkeman justifies the discrepancy by stating recent market declines account for the difference. To comply with the CFA Institute Standards of Professional Conduct, Cruz should least likely take which of the following actions?

选项:

A.Provide a disclaimer in marketing materials indicating prices are as of a specific date.

B.Report the discrepancy to CFA Institute's Professional Conduct Program.

C.Correct the asset information and provide updates to prospective clients.

解释:

A violation of Standard I(A): Knowledge of the Law is likely to occur unless the asset base information is corrected. Cruz has yet to violate any CFA Institute standards, so he need not report a violation. If Cruz does not take action, however, he will be in violation of the standards and at that point would need to report this violation under Standard I(A). The member should know his conduct may contribute to a violation of applicable laws, rules, regulations, or the CFA Institute Standards of Professional Conduct related to the inaccurate sales materials. Cruz should seek to have the information corrected and accurate information provided to prospective clients. It may also be prudent to seek the advice of legal counsel

老师可以翻译一下这题吗,没太明白

1 个答案

王暄_品职助教 · 2023年10月09日

Carlos Cruz是一家股票对冲基金的两位创始人之一。Cruz管理着该基金的资产,另一位联合创始人Brian Burkeman(CFA)负责基金销售和营销。Cruz注意到,Burkeman使用的最新销售材料记录的,他们所管理的资产的价值高于当前市场价值。Burkeman解释到,最近的市场下跌是造成这种差异的原因。为了遵守CFA的要求,Cruz最不可能采取以下哪项行动?


A.在营销材料中提供免责声明以表明价格是特定日期的价格。(可以写清楚价格是哪天的价格,以免客户质疑)


B.向CFA协会的专业行为计划报告差异。(不需要报告给协会,所以本题选择B)


C.更正资产信息并向潜在客户提供最新信息。(也可以按最新日期更新价格)

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