开发者:上海品职教育科技有限公司 隐私政策详情

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404 not found · 2024年06月30日

从题干到选项完全不知所云

NO.PZ2024022002000235

问题如下:

Under the Standard for disclosing conflicts, what is required of a member?

选项:

A.Eliminate all real and possible conflicts of interest. B.Ensure equitable treatment for all clients in the dissemination of investment advice and actions. C.Furnish clients and potential clients with the necessary details to judge the impartiality of the advice offered by the member.

解释:

Option C is correct. According to Standard VI(A), Disclosure of Conflicts, it is imperative for members and candidates to disclose comprehensively and honestly any issues that might compromise their autonomy or objectivity, or affect their responsibilities towards their clients, future clients, and employers. This requirement is designed to protect investors and employers by guaranteeing that all actual and possible conflicts of interest are openly communicated, thereby allowing clients and prospective clients to properly evaluate the neutrality of the investment guidance or actions undertaken on their behalf.

B有什么问题呢?C又说的是啥

1 个答案
已采纳答案

王暄_品职助教 · 2024年07月01日

Disclosure of Conflicts旨在保护投资者和雇主,确保所有实际和可能的利益冲突都被公开披露,从而让客户和潜在客户能够正确评估所提供的投资建议或代表他们采取的行动的中立性。

选项C:“Furnish clients and potential clients with the necessary details to judge the impartiality of the advice offered by the member.”(向客户和潜在客户提供必要的细节,以便他们判断成员所提供的建议的公正性。)

这个选项直接对应了披露冲突标准的要求。根据标准VI(A),成员和候选人必须全面且诚实地披露任何可能影响其自主性、客观性或对客户、未来客户和雇主的责任的问题。这样做的目的是确保所有实际和可能的利益冲突都被公开,从而使客户和潜在客户能够评估投资建议或行动的中立性。因此,选项C是正确的,因为它准确地反映了披露冲突标准对成员的要求,即向客户和潜在客户提供足够的信息,以便他们评估投资建议或行动的中立性和公正性。


选项A:“Eliminate all real and possible conflicts of interest.”(消除所有实际和可能的利益冲突。)这个选项虽然听起来理想,但并不是披露冲突标准的要求。标准并不要求成员消除所有冲突,而是要求他们披露这些冲突。

选项B:“Ensure equitable treatment for all clients in the dissemination of investment advice and actions.”(在传播投资建议和行动时,确保对所有客户公平对待。)这个选项描述的是公平交易的原则,而不是披露冲突标准的具体要求。


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