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176****1226 · 2024年07月19日

题目理解“When an asset manager receives an investment mandate from ”

NO.PZ2022120703000009

问题如下:

When an asset manager receives an investment mandate from a pension fund, the asset manager:

选项:

A.assumes a fiduciary duty to the pension fund's members. B.becomes the legal owner of the assets under management. C.acts as the counterparty to investment transactions on behalf of the pension fund.

解释:

A is correct because the asset manager is "required to act as a fiduciary to clients."

B is incorrect because "asset managers … are not legal owners of their assets under management."

C is incorrect because "asset managers … are not the counterparty to transactions or to derivatives."

When an asset manager receives an investment mandate from a pension fund, the asset manager:

您的回答C, 正确答案是: A

A

assumes a fiduciary duty to the pension fund's members.

B

becomes the legal owner of the assets under management.

C

不正确acts as the counterparty to investment transactions on behalf of the pension fund.


A如何理解“assumes a fiduciary duty to the pension fund's members.”假定对养老基金的成员承担信托责任,不应该是从接受mandate 时,应该 fiduciary duty

1 个答案

Carol文_品职助教 · 2024年07月19日

嗨,爱思考的PZer你好:


当资产管理公司接受养老基金的投资委托(investment mandate)时,确实就开始对养老基金的成员承担信托责任(fiduciary duty)。这并不是假定的责任,而是一旦接受委托,资产管理公司立即承担起这一法律和道德上的责任。信托责任意味着资产管理公司必须以养老基金成员的最大利益为出发点,谨慎、忠诚地管理他们的投资。

所以,选项A的正确理解是:一旦资产管理公司接受了养老基金的投资委托,它就立即开始对养老基金的成员承担信托责任,而不是假定的责任。这一责任是在接受委托的那一刻就生效的。

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