Foster Asset Management Case Scenario-有问必答-品职教育专注CFA ESG FRM CPA 考研等财经培训课程

Foster Asset Management Case Scenario

Jerome Foster, CFA, is the CEO of Foster Asset Management and the chair of the firm’s Investment Committee. Twenty years ago, he started the firm with 2 employees, and it has grown to 25 employees, of whom 5 are investment managers. Foster’s clients range from individuals with very conservative risk profiles allowing only money market instruments to large institutional investors with higher risk tolerance profiles. Foster is looking to further expand his business through acquisitions of privately owned asset management companies. He informs Mercy Ogalo, CFA, the head of compliance and risk, of his plans to be out of the office for extended periods of time while conducting initial interviews and due diligence visits.

When learning of Foster’s plans to be out of the office, what CFA Institute Standard of Professional Conduct should Ogalo be least concerned about Foster violating?

Disclosure of Conflicts

Preservation of Confidentiality

Diligence and Reasonable Basis

这题需要整体解释一下答题思路

背景信息：

Jerome Foster是Foster Asset Management的CEO和投资委员会主席。
他计划长时间离开办公室，进行初步面试和尽职调查，以扩展业务。

A. Disclosure of Conflicts（披露冲突）：

涉及个人或公司利益与客户利益之间的潜在冲突。
Foster长时间离开可能涉及决策延迟或信息沟通不畅，但这与直接的利益冲突关系不大。

B. Preservation of Confidentiality（保密性）：

涉及保护客户和公司信息的机密性。
Foster的离开本身并不直接威胁到信息的保密性，除非有特定情况表明他可能泄露信息。

C. Diligence and Reasonable Basis（勤勉和合理依据）：

要求CFA持有人在提供专业意见或进行投资决策时，必须基于合理的调查和充分的信息。
Foster长时间离开办公室可能直接影响他的勤勉义务，因为他可能无法及时获取和处理关键信息，从而难以做出合理的投资决策。

在这三个标准中，与Foster长时间离开办公室行为最直接相关的是“Diligence and Reasonable Basis”。他的缺席可能影响他履行勤勉义务和做出合理投资决策的能力。

“Disclosure of Conflicts”和“Preservation of Confidentiality”与Foster的离开行为关系不大，除非有额外信息表明存在利益冲突或信息泄露的风险。

在这三个选项中，Ogalo最不需要担心Foster违反的是“Preservation of Confidentiality”（保密性），因为Foster的离开行为本身并不直接威胁到信息的保密性。

因此，答案是 B. Preservation of Confidentiality（保密性）。这个标准与Foster计划长时间离开办公室的行为关系不大，除非有额外情况表明可能存在信息泄露的风险。

Foster Asset Management Case Scenario

1 个答案

1

1

127

相关问题