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Nicole Xiang · 2024年12月12日

请问

NO.PZ2018062009000068

问题如下:

Q. Which of the following statements best describes an aspect of the Standards of Professional Conduct? Members and candidates are required to:

选项:

A.

ensure any portfolio mandate followed is fair, accurate, and complete.

B.promptly disclose changes that might materially affect investment processes.

C.have a reasonable and adequate basis for decisions about client confidentiality.

解释:

B is correct. The current Standards of Professional Conduct requires members and candidates to promptly disclose any changes that might materially affect investment processes.

A is incorrect because under Standard III.C.2 Suitability, when members and candidates are responsible for managing a portfolio according to a specific mandate, they must take only investment actions that are consistent with the stated objectives of the portfolio. The “fair, accurate, and complete” criterion relates to the Standard III D Performance Presentation.

C is incorrect because under Standard III.E.1, 2, 3 Preservation of Confidentiality, members and candidates must keep information about current clients confidential unless the information concerns illegal activities on the part of the client, disclosure is required by law, or the client permits disclosure. No decisions on confidentiality are required, with the “reasonable and adequate basis” criterion related to Standard V.A.2 Diligence and Reasonable Basis.

请问standards of professional conduct 应该是对应框架图的哪一条呢?


1 个答案

王暄_品职助教 · 2024年12月12日

这个指的就是所有的准则的总称,统称为standards of professional conduct 

本题的题目实际就是在问以下哪一个选项符合道德准则,选项就涉及了不同的准则

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