开发者:上海品职教育科技有限公司 隐私政策详情

应用版本:4.2.11(IOS)|3.2.5(安卓)APP下载

徐威廉 · 2020年08月30日

问一道题:NO.PZ2018062009000030 [ CFA II ]

问题如下:

To improve his professional skill, Barry, a pension fund manager, decided to participate in the CFA Program recently. In the fund’s prospectus, soft dollar policies are precisely described. If Barry use the fund’s soft dollar account to pay the registration and exam fees for the CFA Program, will he violate the Code and Standards?

选项:

A.

He will not violate the Code and Standards.

B.

He will violate the Code and Standards because the reasonable use of the soft dollar account does not contain the professional skill enhancement.

C.

He will violate the Code and Standards because the CFA Program can not be regarded as research permitted to be purchased with brokerage commissions.

解释:

C is correct.

Based on Standard III(A) Loyalty, Prudence, and Care, if Barry decided to participate in the CFA Program, the related registration and exam fees should be regarded as a personal expense, which can not be covered by the fund’s brokerage commissions. Although soft dollar accounts can be used to purchase research services, the services must directly contribute to the investment decision making process, the educational expense can not be regarded as research.

C选项怎么翻译?根本看不懂C选项表达的意思
1 个答案
已采纳答案

王暄_品职助教 · 2020年08月31日

嗨,从没放弃的小努力你好:


C的意思是:因为报名CFA Program不算在被认可的关于研究类的项目内,所以他违反了CFA Standards。(这里的研究类项目就是指那些可以帮助客户做投资决定的项目)


-------------------------------
就算太阳没有迎着我们而来,我们正在朝着它而去,加油!