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陈Shelly · 2020年07月17日

问一道题:NO.PZ2016040303000004

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.

C为什么错了?


2 个答案
已采纳答案

王暄_品职助教 · 2020年07月20日

  • personal transaction的意思就是指员工个人账户的交易
  • Employer是雇主的意思,所以意思是员工向雇主披露

王暄_品职助教 · 2020年07月19日

嗨,努力学习的PZer你好:


无论是否有法律强制规定,公司都应该定期检查员工的持仓情况,以便于发现和预防员工是否先于客户和雇主交易。


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


陈Shelly · 2020年07月19日

For confidentiality reasons, personal transactions and holdings should not be reported to employers unless mandated by regulatory organizations. 这个“personal”并没有说是员工的personal啊,后边report to"employer"也很奇怪,员工向员工披露吗

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2022-08-01 20:47 1 · 回答

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2021-07-02 19:49 1 · 回答

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