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FrankSun · 2020年11月03日

老师,我不是特别明白为什么这里违反了Record Retention?烦请指点一下。谢谢!

Q. Gregor Pavlov, CFA, is a fund manager working for the general partner of a new private equity fund. Pavlov includes in the fund marketing material his performance history from his previous employer. He received permission from his former employer to take his historical recommendations and the supporting research reports he used to make those recommendations. Did Pavlov most likely violate the CFA Institute Standards?

  1. No
  2. Yes, with regard to Loyalty
  3. Yes, with regard to Record Retention


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已采纳答案

Debrah_品职答疑助手 · 2020年11月10日

先说下,这题实在考的太过于细致了,答案提到了是因为他没有提供performance data,根据record retention的规则(如下图原版书截图),manager要提供足够多的证据论证他们的投资建议。所以这题由于没有提供performance data而违反了record retention

Debrah_品职答疑助手 · 2020年11月03日

嗨,努力学习的PZer你好:


请提供题目来源,谢谢!


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加油吧,让我们一起遇见更好的自己!


FrankSun · 2020年11月09日

C is correct because even though Pavlov had his former employer’s permission to take his performance record and supporting research reports with him,

FrankSun · 2020年11月09日

he does not have the underlying performance data to support those historical recommendations and is therefore most likely in violation of Standard V(C)–Record Retention.

FrankSun · 2020年11月09日

Pavlov had the permission of his employer to take his historical performance record and research reports with him when he left the firm so he is not in violation of Standard IV(A)–Loyalty.

FrankSun · 2020年11月09日

这些都是CFA官网的习题。

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