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eyn · 2024年09月18日

A选项是什么意思

NO.PZ2024022002000065

问题如下:

Delaney O’Keefe, a CFA candidate and portfolio manager at Bahati Management Company, is exploring the company's first offshore investment venture in North America for its high-net-worth clients. Lacking experience in this area, O’Keefe engages Mark Carlson, CFA, from Carlson Consulting, solely based on his CFA credential, to perform due diligence on North America's top ten asset managers by AUM. To adhere to the CFA Institute's Code and Standards, what action should O’Keefe most likely take?

选项:

A.Conduct a partial assessment of North America's suitability for their clients. B.Personally handle the due diligence on the top ten asset managers. C.Perform a thorough due diligence on Mark Carlson and Carlson Consulting.

解释:

Option C is correct because while O’Keefe can assign due diligence tasks to a third party, she must verify that the individual or firm employed possesses the requisite expertise for a comprehensive and appropriate analysis. While Carlson's CFA charter indicates qualification, O’Keefe must ensure his suitability for the task. Holding a CFA charter alone does not automatically render one appropriate for the assignment.

Conduct a partial assessment of North America's suitability for their clients.

我理解为她的意见只构成部分评估参考,也就是还需要包括其他方面的考量,这样错在哪里?

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已采纳答案

王暄_品职助教 · 2024年09月19日

A选项“Conduct a partial assessment of North America's suitability for their clients”(对北美是否适合其客户进行部分评估)的意思是,O’Keefe 只对北美市场进行部分的或不完全的评估,而不是进行全面、详尽的分析。这个选项的问题在于它没有涵盖到问题的核心——即确保第三方顾问(Mark Carlson 和 Carlson Consulting)的适当性和专业性。问题的重点在于O’Keefe 对雇佣的第三方顾问的责任,而不是对投资地点的评估。因此,即使对北美市场的部分评估可能是一个有用的参考,它也不能替代对第三方顾问的彻底尽职调查。

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