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考拉女士 · 2020年02月27日

问一道题:NO.PZ2018070201000120 [ CFA I ]

问题如下:

Among the listed sections of an IPS, which is most likely linked to the client's distinctive needs?

选项:

A.

Statement of duties and responsibilities.

B.

Investment guidelines.

C.

Procedures.

解释:

B is correct.

The section of investment guidelines provides information about how policy may be executed, including investment constraints, which is linked to the investor's unique needs.

The section of procedures lists the steps to be taken to keep the IPS current and the procedures to follow to respond to various contingencies.

The section of statement of duties and responsibilities informs the duties and responsibilities of the client, the custodian of the client's assets, the investment managers.

老师,可以详细讲一下BC选项吗?有点失忆了

1 个答案

丹丹_品职答疑助手 · 2020年02月27日

同学你好,这道题是R54-IPS部分的内容,同学可以先在流程上理解,三级部分会有专门的课程详细学习。

组合管理的第一步是基金经理和投资者进行沟通,了解投资者的情况建立IPS,即B选项。从而形成符合投资者特征的资产的投资策略。

第二部是执行阶段,基金经理根据IPS进行投资

第三阶段是回顾阶段,一段时间后去总结投资经理的投资业绩及投资策略。

A选项是基金经理的责任和义务,C选项是投资的流程,以确保投资的过程以及投资标的符合前期制定的IPS