问题如下:
4. After his initial meeting with Black, does Locke’s decision to allow NGM to continue managing the portfolio violate the CFA Institute Standards of Professional Conduct?
选项:
A. No.
B. Yes, because he allowed political factors to influence his decision.
C. Yes, because he is obligated to immediately suspend NGM until he finishes his evaluation.
解释:
A is correct.
Until Locke’s investigation is complete, he has no obligation to suspend the manager or take any other action. He believes the manager can and does add value through superior returns and diversification, and therefore it may be reasonable to retain NGM if Locke can be satisfied that the manager can act within the constraints of the IPS and CFA Institute Standards. Until the analysis is complete, it would not be practical, and Locke would be violating his duty to act in his clients’ best interests by suspending the manager and leaving the assets unmanaged or to temporarily moving them to another manager for safe-keeping.
既然已经发现前面提到的有明显偏离ips要求、ipo不当修正等情况,为什么还要放任NGM继续投资呢,只要是return满足要求就可以吗? 韩韩_品职助教 · 28月前 同学你好,虽然之前讲了有一些小问题,但是NGM在return上,diversification上都是可以满足公司的要求的,这就是很充分的理由了。 老师您好,这是我看到的之前同学的提问和老师的回答。我的问题是:在return、diversification满足的情况下,IPS未被遵守算是小问题?IPS都不当回事了,颠覆整个知识体系了吧?是不是有另一个角度来看这道题?