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?