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HI JM · 2020年06月25日

问一道题：NO.PZ2016040303000004

  1. CFA III
  2. Ethics

问题如下：

Which of the following statements clearly conflicts with the recommended procedures for compliance presented in the CFA Institute Standards of Practice Handbook?

选项：

A.

Firms should disclose to clients the personal investing policies and procedures established for their employees.

B.

Prior approval must be obtained for the personal investment transactions of all employees.

C.

For confidentiality reasons, personal transactions and holdings should not be reported to employers unless mandated by regulatory organizations.

解释：

C  is correct.

This question asks about compliance procedures relating to personal investments of members and candidates. The statement in answer C clearly conflicts with the recommended procedures in the Standards of Practice Handbook. Employers should compare personal transactions of employees with those of clients on a regular basis regardless of the existence of a requirement by any regulatory organization. Such comparisons ensure that employees’ personal trades do not conflict with their duty to their clients, and the comparisons can be conducted in a confidential manner. The statement in answer A does not conflict with the procedures in the Handbook. Disclosure of such policies will give full information to clients regarding potential conflicts of interest on the part of those entrusted to manage their money. Answer B is incorrect because firms are encouraged to establish policies whereby employees clear their personal holdings and transactions with their employers.

A，B没懂为什么不对

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1 个答案

王暄_品职助教 · 2020年06月28日

嗨，努力学习的PZer你好：


  • A的翻译是：投资公司应该向客户披露自己的员工为他们自己的账户进行投资时的条例和过程。意思就是，本公司员工是可以进行个人投资的，但投资是要按照规定的，所以公司会立policies，这些policies和员工们为自己账户投资的过程也要披露给客户。这点是和Standards相符合的，因此不选
  • B的翻译是：员工在为自己的个人账户进行投资的时候，需要事先得到公司的同意，才可以进行投资。这样事先的同意，也是Standards里鼓励去做的，所以B和Standards符合，因此不选
  • 这两个选项讲的都是员工为自己的账户进行投资的规定，虽然出到的题目不多，但是涉及到的时候，同学们也是会感到生疏的，所以值得注意。

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