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Frances · 2024年09月17日

没看懂A为什么对

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.

解析里说了很多A中没有说的前提,怎么能说A对?

1 个答案

王暄_品职助教 · 2024年09月18日

选项A虽然表述简化,但核心意思是接受客户的礼物在一定条件下是允许的,这与CFA协会的标准相符

选项B和C都明显违反了CFA协会关于独立性和客观性的标准。

所以本题选A