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花儿。 · 2025年01月06日

请问B选项是在说什么

NO.PZ2018062009000071

问题如下:

Q. As part of the Duties to Clients standard, members and candidates must:

选项:

A.

document client financial constraints after an initial investment action.

B.

maintain an equal balance of interests owed to their clients and employers.

C.

deal fairly and objectively with all clients when engaging in professional activities.

解释:

C is correct. Under the III.B Fair Dealing section of the Duty to Clients standard, members and candidates must deal fairly and objectively with all clients when providing investment analysis, making investment recommendations, taking investment action, or engaging in other professional activities.

A is incorrect because under Standard III.C.1a Suitability, a section of Duties to Clients, members and candidates in an advisory relationship must make a reasonable inquiry into a client’s financial constraints prior to (not after) taking investment action and must reassess and update this regularly.

B is incorrect because under Standard III.A Loyalty, Prudence, and Care, members and candidates must act for the benefit of their clients and place their clients’ interests before (not maintain an equal balance with) their employer’s or their own interests.

如题目,请问B选项是在说什么

1 个答案

王暄_品职助教 · 2025年01月06日

B选项说的是:成员和候选人必须保持对客户和雇主利益的平等平衡。但根据CFA的道德标准,这是不正确的,因为成员和候选人应该为了客户的利益行事,将客户的利益置于雇主或自己的利益之上,而不是维持一个平等的平衡。