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🐚 · 2024年11月08日

不理解答案和题目

NO.PZ2024022002000063

问题如下:

Rodney Rodrigues, CFA, oversees the selection of experts to oversee various asset categories for his company. His selection criteria for external consultants or sub-advisors include evaluating their investment methodology, ethical standards, reliability of their reported returns, and the organization's compliance and overall control system. In conducting his evaluation, which aspect most likely led Rodrigues to breach the CFA Institute Standards of Professional Conduct in terms of due diligence?

选项:

A.Adherence to strategy B.Performance measures C.Internal control procedures

解释:

Option A is correct because Standard V(A)–Diligence and Reasonable Basis mandates a thorough review when choosing an external adviser or subadviser. This should minimally involve assessing the adviser's fidelity to their declared strategy.

可以详细讲一下吗 感觉都没有错

1 个答案

王暄_品职助教 · 2024年11月08日

Rodney Rodrigues作为CFA,负责为公司选择监督各类资产类别的专家。他的选择标准包括评估外部顾问或子顾问的投资方法、道德标准、报告收益的可靠性,以及组织的合规性和整体控制系统。但是没有考察外部顾问的策略是否符合对外宣称的风格,即(Adherence to strategy),因此选A

而其他选项,题目中都有对应的内容,例如 B.Performance measures对应reliability of their reported returns;C Internal control procedures对应he organization's compliance and overall control system


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