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Coco · 2024年10月26日

麻烦老师解释一下这道题

NO.PZ2024022002000101

问题如下:

In accordance with the Standard for loyalty, prudence, and care, what is an advisable approach for members to adhere to? Members are advised to:

选项:

A.Completely remove all real and potential conflicts of interest. B.Inform clients about every type of management compensation. C.Provide each client with a detailed account of their funds and securities in custody at least once a year.

解释:

Option B is correct. The recommended procedure for Standard III (A), Loyalty, Prudence, and Care, is that members and candidates should disclose all forms of manager compensation to their clients. This is crucial for clients to understand and evaluate any conflicts of interest. It's not mandatory to eliminate all conflicts, but disclosure is key. Also, regarding the frequency of statements, the requirement is quarterly, not annually.

三个选项看上去都对啊

1 个答案

王暄_品职助教 · 2024年10月27日

A. Completely remove all real and potential conflicts of interest.

这个选项提出了一个绝对化的建议即完全消除所有真实和潜在的利益冲突。然而,在现实世界中,完全消除所有利益冲突可能是不切实际的。我们并不是必须消除所有冲突,但披露是关键。因此,这个选项错误

B. Inform clients about every type of management compensation.

III(A)“忠诚、谨慎和关心”的recommendation建议,CFA会员应向客户披露所有形式的管理补偿。这是为了让客户能够理解和评估任何可能存在的利益冲突。因此,这个选项是正确的。

C. Provide each client with a detailed account of their funds and securities in custody at least once a year.

这个选项关注的是提供账户详情的频率,即每年至少一次。然鹅,“忠诚、谨慎和关心”的recommendation建议CFA会员,关于报表的频率,要求是每季度,而不是每年。因此,不正确的。


这题的B和C选项考查的是该准则的recommendation部分,因此可能会略显生疏,您可以通过本题有意识得到记忆一下。

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