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AvenYu · 2024年10月27日

请问AB为什么不对呢

NO.PZ2024022002000183

问题如下:

In line with the compliance procedures for the Standard on diligence and a sound analytical foundation, what practice should members advocate for within their firms?

选项:

A.Tailor the evaluation criteria specifically for each external advisor to assess their adequacy.

B.Implement a policy to conduct extensive scenario testing on every computer-based model used for financial instrument analysis.

C.Designate a supervisory analyst to validate the soundness and sufficiency of research reports before they are shared outside the firm.

解释:

Option C is correct. The guidelines of Standard V(A), Diligence and Reasonable Basis, advise that firms should have a system in place to ensure that all research reports, credit ratings, and investment recommendations are underpinned by a robust and thorough analysis. This includes appointing either an individual (like a supervisory analyst) or a committee to review and sanction these materials before they are disseminated externally, confirming that they meet the established standards of reasonable and adequate basis.

如题,请问为什么AB不对呢?

1 个答案

王暄_品职助教 · 2024年10月28日

本题考察的V(A) Diligence and Reasonable Basis的recommendation的部分

A. 为每位外部顾问量身定制评估标准,以评估其充分性:

  • V(A)的建议是,公司制定标准化的评估标准,而不是针对每个外汇顾问量身制作。

B. 实施一项政策,对用于金融工具分析的每个计算机模型进行广泛的情景测试:

  • 这个选项仅限于计算机模型的情景测试,没有涵盖所有类型的研究报告或投资建议。


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