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yzayyy · 2024年05月16日

请问下B选项为什么不对

NO.PZ2024022002000220

问题如下:

In the context of maintaining independence and objectivity, which assertion is true according to CFA Institute Standards?

选项:

A.Accepting a gift from a client is permissible and can be viewed as extra remuneration.

B.Analysts' pay should be directly connected to their roles in investment banking tasks.

C.It is acceptable for portfolio managers to inform companies about sell-side analysts whose recommendation shifts harm client investments.

解释:

Option A is accurate. The Standards distinguish between gifts from clients, which can supplement existing compensation arrangements, and those from parties aiming to sway members or candidates against client interests. The premise is that a client's gift comes within the framework of an already established compensatory relationship, not intended to compromise the recipient's objectivity or independence.

没有理解B选项错在哪里,请解答一下,谢谢。

1 个答案
已采纳答案

王暄_品职助教 · 2024年05月20日

嗨,从没放弃的小努力你好:


选项B考察的是I(B),该条款旨在防止这种利益冲突。要求分析师和投资顾问的薪酬结构不应鼓励他们做出不符合客户最佳利益的推荐。因此,分析师的薪酬不应与投资银行交易的结果直接相关,以维护他们的独立性和客观性。所以,选项B是错误的

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