NO.PZ201604030300005001
问题如下:
1. Does Ronoldo violate the CFA Institute Asset Manager Code of Professional Conduct with respect to his broader investment strategy?
选项:
A.No.
B.Yes, with respect to client disclosure only.
C.Yes, with respect to reasonable and adequate basis only.
解释:
B is correct.
Ronoldo should have disclosed his change in investment strategy to clients, allowing them to move their accounts if not in agreement. Until he disclosed a planned change in strategy, he should have continued to manage in the manner for which clients had hired him.
文中提到主人公把所有的客户钱都放在commingled fund, 这不合适吧?不是每个客户都适合这个fund的把,所以B也错了啊