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zyh9479 · 2024年11月13日

2024 mock 题

Madison is meeting with Grace Fogelman, a prospective client who has recently received a significant inheritance. Madison describes the investment process for an equity strategy she manages. She states that she employs an enhanced indexing strategy that over weights securities considered to be undervalued based on valuation measures developed by Grey Mountain's analysts. She also describes the potential limitations and risks associated with the investment process. When asked about performance, Madison states that the strategy has consistently outperformed its benchmark in the past, and Fogelman should expect similar performance in the future if she were to become a client.

1.     Are Madison's statements to Fogelman regarding the equity strategy consistent with the Standards?

A.       Yes.


B.      No, her description of the investment process is not consistent with the Standards.


C.       No, her statement about the strategy's expected performance is not consistent with the Standards.


expect怎么就成一种promise了?又是被Ethic题的文字游戏整自闭的一天,这种题能咋练啊?

1 个答案

王暄_品职助教 · 2024年11月13日

Madison描述了她使用的增强型指数策略,这种策略根据Grey Mountain分析师的估值指标,对被认为低估的证券进行超配。这部分描述是符合投资伦理标准的,因为它仅仅是在解释投资策略和方法。当Madison说“Fogelman应该期待未来有类似的表现”时,她实际上是在对未来投资结果做出了预测或暗示。这种表述违反了投资伦理标准中的“性能展示”(Performance Presentation)原则,特别是Standard III(D),该标准要求投资顾问或候选人不得陈述或暗示客户将获得或受益于过去产生的回报率。

现在,关于你提到的“expect怎么就成一种promise了?”的疑问:

在语境中,“expect”(期待)这样的词汇,如果用来指代未来的投资回报,很容易被解读为对投资者的某种保证或承诺。这是因为投资者可能会依赖这样的陈述来做出投资决策。因此,为了避免误导投资者,投资顾问需要非常谨慎地表述,确保不给出任何关于未来表现的明确或隐含承诺。


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