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尼克内姆 · 2020年08月25日

问一道题:NO.PZ2016032802000015 [ CFA II ]

问题如下:

Smith Recie, works in the research department of Hensen investment company. This week he has lots of work to do and has no time to write a research report. So, he just copies some assumptions of the third-party research and finishes his report as soon as possible. Which of the following standards does Smith violate?

选项:

A.

He complies with the Code and Standards.

B.

He violates the standard on Diligence and Reasonable Basis.

C.

He violates the standard on Suitability.

解释:

B is correct.

According to Standard V(A) Diligence and Reasonable Basis, when Smith copies some assumptions of the third-party research, he must review them and evaluate the objectivity of them. Smith violates this standard.

请问,c选项可以选吗??

1 个答案

王暄_品职助教 · 2020年08月25日

嗨,从没放弃的小努力你好:


不能选,suitability这条的意思是:"了解客户,写符合客户的IPS,且投资要根据客户IPS来进行投资。" 而这里并没有提到客户。


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