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shirley_hd · 2020年07月01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


为什么这句话是对的

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1 个答案

王暄_品职助教 · 2020年07月02日

嗨，努力学习的PZer你好：


  • 因为CFA Code and Standards 是鼓励任何个人去遵循的，无论你是不是会员或者考生，协会都鼓励你遵循Standards里的准则。所以对于Nano说的关于Code and Standards的那半句是错误的。
  • Nano的后半句说，公司可以adopt AMC，是正确的，因为AMC是只能整个公司去遵守，而且公司一定要是和投资相关的公司，Markoe Advisors公司符合遵守AMC的条件，所以Nano关于AMC的后半句是正确的。
  • 所以选B，关于Code and Standards是错的；关于AMC是正确的

-------------------------------
虽然现在很辛苦，但努力过的感觉真的很好，加油！


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NO.PZ201604030300004202 问题如下 2. Is Nano’s statement with respeto aption of the CFA Institute Co of EthianStanr of ProfessionConanthe CFA Institute Asset Manager Co of ProfessionConct, respectively, correct? CFA Co anStanrFA Institute Asset Manager Co of ProfessionCon A.NoNo B.NoYes C.YesNo B is correct.The CFA Co anStanr apply to invimembers ancantes of CFA Institute, but firms are encourageto apt the Co anStanr part of their firm co of ethics. The CFA Institute Asset Manager Co of ProfessionConhbeen aftespecifically for firms. 这里可以理解为CFA Co anStanr在公司和个人层面，都可以去遵守。因为，公司层面可以理解为让公司员工去遵守？但是如果单纯是公司层面就只能遵守CFA Institute Asset Manager Co of ProfessionConct了？第二句怎么理解？为什么不能change？

2024-08-02 18:44 1 · 回答

NO.PZ201604030300004202问题如下2. Is Nano’s statement with respeto aption of the CFA Institute Co of EthianStanr of ProfessionConanthe CFA Institute Asset Manager Co of ProfessionConct, respectively, correct?CFA Co anStanrFA Institute Asset Manager Co of ProfessionConctA.NoNoB.NoYesC.YesNoB is correct.The CFA Co anStanr apply to invimembers ancantes of CFA Institute, but firms are encourageto apt the Co anStanr part of their firm co of ethics. The CFA Institute Asset Manager Co of ProfessionConhbeen aftespecifically for firms.第一，co anstanr能约束个人，nano说的作为公司不能遵守，这句话是对的吧？应该选yes第二，公司应该遵守AMC这个也没问题，也选yes。所以正确答案应该是两个yes啊

2022-06-09 13:43 1 · 回答

No Yes Yes No B is correct. The CFA Co anStanr apply to invimembers ancantes of CFA Institute, but firms are encourageto apt the Co anStanr part of their firm co of ethics. The CFA Institute Asset Manager Co of ProfessionConhbeen aftespecifically for firms.这道题答案应该是两个yes。

2020-10-11 21:56 1 · 回答

 \"Although Markoe Aisors, a firm, cannot apt the CFA Institute Co of EthianStanr of ProfessionConct“ 这句话说的而也是对的吧，CFA Institute Co of EthianStanr of ProfessionConct是针对个人的准则，不适用于firm。两个都是yes才对啊

2020-03-13 00:14 2 · 回答