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liutiegang · 2020年10月11日

问一道题：NO.PZ201604030300004202 第2小题 [ CFA III ]

  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.

这道题答案应该是两个yes。
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1 个答案

Debrah_品职答疑助手 · 2020年10月12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

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2024-08-02 18:44 1 · 回答

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2022-06-09 13:43 1 · 回答

Although Markoe Aisors, a firm, cannot apt the CFA Institute Co of EthianStanr of ProfessionCon为什么这句话是对的

2020-07-01 17:26 1 · 回答

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