NO.PZ2023021602000070
问题如下:
Noor Hussein, CFA, runs a financial advisory business, specializing in retirement planning and investments. One of her clients asks her to advise the firm's pension fund trustees on available investments in the market including Islamic products. On the day prior to the meeting, Hussein spends an hour familiarizing herself with Islamic investment products and getting updates on local market conditions. The next day, she recommends Islamic investment products to the trustees based on her research and her expertise in retirement planning and investments. The trustees subsequently incorporate Islamic products into their investment allocation. Did Hussein's basis for the recommendation most likely comply with the CFA Code of Ethics?
选项:
A.Yes. B.No, with regard to Misconduct. C.No, with regard to Diligence and Reasonable Basis.解释:
C is correct because Hussein did not likely act with competence and diligence as required by Standard V(A). One half day of preparation with regard to Islamic investment products would not likely be considered sufficient to give investment advice to pension plan trustees. Misconduct was not violated by Hussein stating she is an expert in retirement planning and investments because this is the area she specializes in.A is incorrect because Hussein did not likely act with competence and diligence as required by Standard V(A). One half day of preparation with regard to Islamic investment products would not likely be considered sufficient to give investment advice to pension plan trustees.B is incorrect because it is not likely she violated Standard I(D)-Misconduct, i.e., conduct involving dishonesty, fraud, and/or deceit by stating she is an expert in retirement planning and investments.和推荐的公司吃饭这个情况是否有违反独立客观性条款