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AvenYu · 2024年10月27日

5年

NO.PZ2024022002000257

问题如下:

Without specific rules from regulators or internal company guidelines, what is the minimum duration for keeping records as advised by the CFA Institute?

选项:

A.three years

B.five years

C.seven years

解释:

Option C is correct. Per Standard V (C) of the CFA Institute, which addresses Investment Analysis, Recommendations, and Actions - Record Retention, in situations where there are no explicit regulatory or company policies on record retention, the recommendation is to keep records for a minimum of seven years. This guideline is in place to ensure that members, candidates, and their firms comply with potential regulatory requirements and maintain a standard for professional conduct and responsibility.

请问是哪个政策要求只是5年呢?

1 个答案

王暄_品职助教 · 2024年10月28日

您好,道德准则里没有和五年相关的内容

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