道德手册部分的题目前感觉偏难

NO.PZ2024022002000045

问题如下：

In Dunfield Brokers, Mariam Musa, CFA, queries Omar Kassim, a research analyst and CFA candidate, about his recent stock purchase just prior to recommending it. Kassim justifies his action citing no existing internal trading rules. Which individuals most likely contravened the CFA Institute's ethical guidelines?

选项：

A.Solely Musa

B.Solely Kassim

C.Both Musa and Kassim

解释：

Option C is correct. Both Musa and Kassim have not adhered to the professional conduct standards. Musa overlooked her supervisory duty (Standard IV(C)) in implementing trading policies, and Kassim violated the standard of giving precedence to client interests (Standard VI(B)) by trading before his recommendation.

一来生词多，caveat，Meticulous，

coercive啥啥啥，感觉故意用高级一点的词代替常用词。二来感觉问得也好晦涩隐蔽，这题我理解为她作为监督者在质问对方的违规行为，哪里涉及到违规了

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王暄_品职助教 · 2024年11月11日

本题手Mariam Musa, CFA，是Dunfield Brokers的一名员工，她询问了研究分析师兼CFA候选人Omar Kassim关于他最近的股票购买行为。Kassim在购买股票后即将推荐该股票，并辩解称公司没有内部交易规则来限制他的行为。

作为CFA持证人，Musa有责任监督并确保公司内部的交易行为符合职业道德准则。Standard IV(C) - Responsibilities of Supervisors：这条准则强调了监督者有责任实施和监督适当的政策和程序，以确保员工的合规性。在这个案例中，Musa没有实施或监督有效的交易政策，从而未能履行她的监督职责。

Kassim作为研究分析师，在推荐股票之前有购买该股票的行为。Standard VI(B) - Priority of Transactions：这条准则要求投资专业人士在将投资建议或研究成果提供给客户之前，不得为了自己的账户进行交易，从而确保客户的利益得到优先考虑。

Kassim的行为违反了这一准则，因为他先为自己购买了股票，然后才计划向客户推荐。

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NO.PZ2024022002000045 问题如下 In nfielBrokers, MariMusCFqueries OmKassim, a researanalyst anCFA cante, about his recent stopurchase just prior to recommenng it. Kassim justifies his action citing no existing interntrang rules. Whiinvials most likely contravenethe CFA Institute's ethicguilines? A.Solely Mus B.Solely Kassim C.Both Musa anKassim Option C is correct. Both Musa anKassim have not aereto the professionconstanr. Musa overlookeher supervisory ty (StanrIV(C)) in implementing trang policies, anKassim violatethe stanrof giving precento client interests (StanrVI(B)) trang before his recommention. 这里没有说Musa是supervisor，为什么违反了

2024-09-01 20:53 1 · 回答

道德手册部分的题目前感觉偏难

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