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fionama · 2024年09月22日

老师,C选项的意思能具体解释一下吗?

NO.PZ2018062009000074

问题如下:

Q. Based on the Conflicts of Interest standard, members and candidates must:

选项:

A.

disclose, as required by law, those conflicts interfering with their professional duties.

B.

disclose, as appropriate, any benefit paid to others for the recommendation of products.

C.

seek employer approval before prioritizing their investment transactions over those clients.

解释:

B is correct. The VI.C Referral Fees section of the Conflicts of Interest standard requires members and candidates to disclose to their employer, clients, and prospective clients, as appropriate, any compensation, consideration, or benefit received from or paid to others for the recommendation of products or services.

A is incorrect because the VI.A Disclosure of Conflicts section of the Conflicts of Interest standard requires members and candidates to make full and fair disclosure of all matters (not limited to legal requirements) that could reasonably be expected to impair their independence and objectivity or interfere with respective duties to their clients, prospective clients, and employer.

C is incorrect because the VI.B Priority of Transactions section of the Conflicts of Interest standard requires members and candidates to give priority to investment transactions for clients and employers versus those in which a member or candidate is the beneficial owner. This requirement is not waived by an employer’s approval.

C选项翻译过来不太明白。

1 个答案

王暄_品职助教 · 2024年09月23日

C选项的内容是:“在将自己的投资交易置于客户之前之前,寻求雇主的批准。”

这个选项涉及到CFA的“交易优先级”(Priority of Transactions)原则。这个原则要求CFA会员和候选人在处理投资交易时,必须优先考虑客户和雇主的交易,而不是他们自己的交易。换句话说,如果CFA会员或候选人自己也是某项投资的有益所有者(即他们自己也投资了这笔钱),那么他们不能让自己的交易优先于客户或雇主的交易。

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