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liutiegang · 2020年10月13日

问一道题:NO.PZ201604030300004502 第2小题 [ CFA III ]

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问题如下:

2. Are the record-retention policies of both Khadri and Vinken consistent with CFA Institute Standards?

选项:

A.

Yes.

B.

No, Khadri’s policy is not consistent.

C.

No, Vinken’s policy is not consistent.

解释:

A is correct.

The policies of both Khadri and Vinken are consistent with Standard V(C) — Record Retention, which states that members and candidates must develop and maintain appropriate records to support their investment analyses, recommendation, actions, performance and other communications with clients and prospective clients. The records required to support recommendations and/or investment actions depend on the role of the member or candidate in the investment decision-making process. Records can be maintained either in hard copy or electronic form. Even though they use different methods, Khadri and Vinken each maintain the appropriate records and have adequate systems of record control.

老师您好,虽然有regulator 5 years的规定,CFA里也说了当地有法律法规的话要遵守当地的法律法规,但CFA还要求遵守较严的(相比之下CFA里要求的是7年,更严格),为什么可以按照5年来遵守?这个问题我从一级一直有,是我哪里理解错了吗?谢谢!
1 个答案

Debrah_品职答疑助手 · 2020年10月14日

嗨,努力学习的PZer你好:


如果没有regulation,CFA“推荐”7年,但不是“必须”;如果regulation有要求,按照regulation要求来。这个是一个比较特殊的地方,何老师上课讲到过。


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虽然现在很辛苦,但努力过的感觉真的很好,加油!