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小皮皮daisy · 2020年03月13日

问一道题：NO.PZ201604030300004202

  1. CFA III
  2. Ethics

* 问题详情，请 查看题干

问题如下：

2. Is Nano’s statement with respect to adoption of the CFA Institute Code of Ethics and Standards of Professional Conduct and the CFA Institute Asset Manager Code of Professional Conduct, respectively, correct?

选项：

CFA Code and Standard
CFA Institute Asset Manager Code of Professional Conduct
A.
No
No
B.
No
Yes
C.
Yes
No

解释：

B is correct.

The CFA Code and Standards apply to individual members and candidates of CFA Institute, but firms are encouraged to adopt the Code and Standards as part of their firm code of ethics. The CFA Institute Asset Manager Code of Professional Conduct has been drafted specifically for firms.

 "Although Markoe Advisors, as a firm, cannot adopt the CFA Institute Code of Ethics and Standards of Professional Conduct“ 这句话说的而也是对的吧，CFA Institute Code of Ethics and Standards of Professional Conduct是针对个人的准则，不适用于firm。两个都是yes才对啊

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发亮_品职助教 · 2020年03月13日

嗨，从没放弃的小努力你好：


 "Although Markoe Advisors, as a firm, cannot adopt the CFA Institute Code of Ethics and Standards of Professional Conduct“ 这句话说的而也是对的吧，CFA Institute Code of Ethics and Standards of Professional Conduct是针对个人的准则，不适用于firm。两个都是yes才对啊”

是的，Codes and standards是约束个人的。

但是，公司在制定内部规章制度时，完全可以采用CFA的Codes and standards的标准，题目说的是Adopt the CFA Institute Code of Ethics，是说公司采用Codes and standards约束自己的员工，这点没问题的。


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郎布斯吃苹果 · 2022年08月09日

如果是对的，那不就是两个都是yes吗

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