开发者:上海品职教育科技有限公司 隐私政策详情

应用版本:4.2.11(IOS)|3.2.5(安卓)APP下载

圣灵霜子 · 2020年11月12日

问一道题:NO.PZ201604030300004506 第6小题 [ CFA III ]

* 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.

他只是respond to client,并没有改正算错了的performance 这个不算违反C吗?
2 个答案

Debrah_品职答疑助手 · 2020年11月13日

所以在这里,他违反的是Misrepresentation,而不是Performance presentation。

他故意将human typo error说成是Computer error。所以违反了Misconduct,因为这是dishonesty, fraud, or deceit的行为。也违反Misrepresentation

Performance presentation更多的是虚假业绩的陈述。请注意区分

Debrah_品职答疑助手 · 2020年11月12日

嗨,爱思考的PZer你好:


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。


-------------------------------
虽然现在很辛苦,但努力过的感觉真的很好,加油!


圣灵霜子 · 2020年11月12日

只要改正就可以,但是他没有改正呀。。。

  • 2

    回答
  • 0

    关注
  • 1399

    浏览
相关问题

NO.PZ201604030300004506 问题如下 6. When responng to the client complaint regarng Westlake’s performance, Khai least likely violates the Stanrrelating to: A.misconct. B.misrepresentation. C.performanpresentation. C is correct.Khai provis the correcteinformation in her letter to the client, she is least likely to violate the Stanrrelating to performanpresentation. She is more likely to violate the Stanr relating to MisconanMisrepresentation because she knowingly misrepresents the cause of the error. StanrI( —Misconrequires thmembers not engage in any professionconinvolving shonesty. StanrI(prohibits members from knowingly making any misrepresentation relating to investment actions anprofessionactivities. 就是这两个的差别有哪些,不光这个题的

2024-06-11 20:50 1 · 回答

NO.PZ201604030300004506 问题如下 6. When responng to the client complaint regarng Westlake’s performance, Khai least likely violates the Stanrrelating to: A.misconct. B.misrepresentation. C.performanpresentation. C is correct.Khai provis the correcteinformation in her letter to the client, she is least likely to violate the Stanrrelating to performanpresentation. She is more likely to violate the Stanr relating to MisconanMisrepresentation because she knowingly misrepresents the cause of the error. StanrI( —Misconrequires thmembers not engage in any professionconinvolving shonesty. StanrI(prohibits members from knowingly making any misrepresentation relating to investment actions anprofessionactivities. 前面的回答,都从他把责任推卸给电脑这点错了出发来解答,但我们怎么知道事实上不是因为电脑的缘故呢?如果他说的就是真的呢?

2024-01-22 16:39 1 · 回答

NO.PZ201604030300004506 misrepresentation. performanpresentation. C is correct. Khai provis the correcteinformation in her letter to the client, she is least likely to violate the Stanrrelating to performanpresentation. She is more likely to violate the Stanr relating to MisconanMisrepresentation because she knowingly misrepresents the cause of the error. StanrI( —Misconrequires thmembers not engage in any professionconinvolving shonesty. StanrI(prohibits members from knowingly making any misrepresentation relating to investment actions anprofessionactivities.老师,题目正文最后一句,从in her letter一直到结束,麻烦翻译一下

2022-04-05 21:10 1 · 回答

NO.PZ201604030300004506问题如下6. When responng to the client complaint regarng Westlake’s performance, Khai least likely violates the Stanrrelating to: A.misconct. B.misrepresentation. C.performanpresentation. C is correct.Khai provis the correcteinformation in her letter to the client, she is least likely to violate the Stanrrelating to performanpresentation. She is more likely to violate the Stanr relating to MisconanMisrepresentation because she knowingly misrepresents the cause of the error. StanrI( —Misconrequires thmembers not engage in any professionconinvolving shonesty. StanrI(prohibits members from knowingly making any misrepresentation relating to investment actions anprofessionactivities.请问老师,如果这一题的答案选择是performanpresentation没有问题,那么上一题在提到return presentation时,也应该是没有问题的,但是上一题却选C,认为return披露是有问题的,请问该如何理解?

2022-03-30 20:29 1 · 回答

NO.PZ201604030300004506 想问下这里的misconct.和misrepresentation.体现在哪里?

2021-05-20 22:40 1 · 回答