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shelly0205 · 2020年10月15日

问一道题:NO.PZ201604030300004506

* 问题详情,请 查看题干

问题如下:

6. When responding to the client complaint regarding Westlake’s performance, Khadri least likely violates the Standard relating to:

选项:

A.

misconduct.

B.

misrepresentation.

C.

performance presentation.

解释:

C is correct.

As Khadri provides the corrected information in her letter to the client, she is least likely to violate the Standard relating to performance presentation. She is more likely to violate the Standards relating to Misconduct and Misrepresentation because she knowingly misrepresents the cause of the error. Standard I(D) —Misconduct requires that members not engage in any professional conduct involving dishonesty. Standard I(C) prohibits members from knowingly making any misrepresentation relating to investment actions and professional activities.

请问这道题正确答案到底是B还是C

1 个答案

Debrah_品职答疑助手 · 2020年10月16日

嗨,从没放弃的小努力你好:


在最后一段,客户发现他们把业绩计算错了,然后Westlake就查了一遍发现确实是算错了,但是这个错误是人为错误。他却在给客户的回信中把错误归咎于电脑系统错误。所以肯定是违反Misconduct了,因为是不诚信的行为。

同时也肯定违反Misrepresentation了,Misrepresentation的规定如下:must not knowingly make any misrepresentations relating to investment analysis, recommendations, actions, or other professional activities.

故意把错误归咎于电脑系统,就是Knowing make misrepresentations on other professional activities.

Performance presentation主要是保证展示的业绩是:fair, accurate, and complete。

这道题涉及到的信息如下:

After the quarterly newsletter is distributed, a client contacts Khadri claiming that the Westlake Fund actually underperformed the benchmark during the quarter.

After researching the issue, Khadri confirms that the client is correct and sends him a letter in which she provides the corrected results.

其实到这里都没有违反。在业绩展示时,是允许出现业绩展示错误的,只要不是故意虚增业绩,打印错误等只要及时改正即可。所以他并没有违反Peformance presentation。


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就算太阳没有迎着我们而来,我们正在朝着它而去,加油!


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