问一道题：NO.PZ201604030300004206 第6小题 [ CFA III ]

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问题如下：

6. Are the seminar speaker’s Statements 3 and 4, respectively, sufficient to meet the requirements of related CFA Institute Standards?

选项：

Statement 3

Statement 4

Yes

解释：

B is correct.

Statement 3 is incorrect. The disclosure of a conflict should be made $—$ prominently and in plain language $—$ regardless of whether the member views the conflict as material, so the client can determine the materiality of the conflict. Statement 4 is in compliance with CFA Institute Standards. The Mahsud Financial disclosure requirement meets CFA Institute Standards. Gifts from clients should be disclosed to the employer, which is responsible for determining whether the gift could affect the employee’s independence and objectivity.

老师这道题Violations部分能否解释下原因？

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1 个答案

王暄_品职助教 · 2020年06月15日

嗨，努力学习的PZer你好：

"reported to the president, and employees will receive an official warning"是不够的，supervisor不仅要给出警告，还要做出正真的处理及惩罚措施以确保employees的行为不会再次出现。也就是答案中所提到的 "should take steps to ensure that violations will not be repeated by limiting or monitoring the employees' activities."

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努力的时光都是限量版，加油！

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问一道题：NO.PZ201604030300004206 第6小题 [ CFA III ]

1 个答案

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