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- · 2024年10月14日

题干第二句话是Peters介绍Sato认识Capital的Reps们,还是Sato介绍Peter给Capital啊……

NO.PZ2023021602000012

问题如下:

Jiro Sato, CFA, deputy treasurer for May College, manages the Student Scholarship Trust. Sato issued a request for proposal (RFP) for domestic equity managers. Pamela Peters, CFA, a good friend of Sato, introduces him to representatives from Capital Investments, which submitted a proposal. Sato selected Capital as a manager based on the firm's excellent performance record. Shortly after the selection, Peters, who had outstanding performance as an equity manager with another firm, accepted a lucrative job with Capital. Which of the CFA charter holders violated the CFA Institute Standards of Professional Conduct?

选项:

A.Both B.Neither C.Peters

解释:

Members should use reasonable care and judgment to maintain independence and objectivity, as stated in Standard I (B). There is no indication of inappropriate behavior in the selection of the equity manager or in the acceptance of employment with that manager; both decisions were based on the excellent performance records of the manager and the member, respectively.

妈呀读题简直是做题第一大障碍…好难受

1 个答案
已采纳答案

王暄_品职助教 · 2024年10月14日

本题说的是:Jiro Sato作为May College的副财务长,负责管理学生奖学金信托,他发出了一份针对国内股票经理的请求提案(RFP)。Pamela Peters,Sato的好友,向他介绍了Capital Investments的代表,该公司提交了一份提案。Sato基于Capital的出色业绩记录选择了它作为管理者。之后,Peters,在另一家公司作为股票经理有出色表现,接受了Capital的一份高薪工作。

理解问题的核心:确定问题的关键点。我们需要基于这个关系,判断哪个选项是正确的。

A选项(Both):这个选项表示Sato和Peters都违反了CFA协会的行为准则。但从题干中我们可以看出,Sato选择Capital是基于其出色的业绩记录,而Peters接受Capital的工作也是基于她个人的出色表现,两者都并未显示出违反CFA协会行为准则的行为。

B选项正确(Neither):这个选项表示Sato和Peters都没有违反CFA协会的行为准则。从题干中我们可以看出,Sato和Peters的行为都是基于合理的判断和业绩记录,没有违反任何规定。

C选项(Peters):这个选项表示只有Peters违反了CFA协会的行为准则。但从题干中我们可以看出,Peters接受Capital的工作是基于她个人的出色表现,并未显示出违反CFA协会行为准则的行为。


- · 2024年10月14日

好的明白了,感谢老师

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