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vivian_zm · 2018年06月10日

问一道题:NO.PZ201604030300004502 第2小题 [ CFA III ]

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问题如下图:

    

选项:

A.

B.

C.

解释:


请问,根据record retention,记录不是应该至少保存七年吗,除非有法律规定依照法律规定

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韩韩_品职助教 · 2018年06月13日

同学你好,题目中已经说了有regulator 5 years的规定,那么遵守regulator的要求就可以。如果没有regulator约束,那么就是至少七年。

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NO.PZ201604030300004502 问题如下 2. Are the recorretention policies of both Khai anVinken consistent with CFA Institute Stanr? A.Yes. B.No, Khai’s poliis not consistent. C.No, Vinken’s poliis not consistent. A is correct.The policies of both Khai anVinken are consistent with StanrV(— RecorRetention, whistates thmembers ancantes must velop anmaintain appropriate recor to support their investment analyses, recommention, actions, performananother communications with clients anprospective clients. The recor requireto support recommentions anor investment actions penon the role of the member or cante in the investment cision-making process. Recor cmaintaineeither in harcopy or electronic form. Even though they use fferent metho, Khai anVinken eamaintain the appropriate recor anhave aquate systems of recorcontrol. 只看到实际操作是按照5年执行的,但没有看到哪里写地方、公司政策要求5年。

2024-02-05 10:33 1 · 回答

No, Khai’s poliis not consistent. No, Vinken’s poliis not consistent. A is correct. The policies of both Khai anVinken are consistent with StanrV(— RecorRetention, whistates thmembers ancantes must velop anmaintain appropriate recor to support their investment analyses, recommention, actions, performananother communications with clients anprospective clients. The recor requireto support recommentions anor investment actions penon the role of the member or cante in the investment cision-making process. Recor cmaintaineeither in harcopy or electronic form. Even though they use fferent metho, Khai anVinken eamaintain the appropriate recor anhave aquate systems of recorcontrol.老师您好,虽然有regulator 5 years的规定,CFA里也说了当地有法律法规的话要遵守当地的法律法规,但CFA还要求遵守较严的(相比之下CFA里要求的是7年,更严格),为什么可以按照5年来遵守?这个问题我从一级一直有,是我哪里理解错了吗?谢谢!

2020-10-13 12:47 1 · 回答

    不是应改遵守更严格的规定吗?

2019-05-22 08:24 1 · 回答