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Jine · 2020年11月12日

问一道题:NO.PZ2016032802000016

问题如下:

Petty Peige, CFA, a portfolio manager in Getting Invest Company. In her report to clients, she just explains the advantages of her strategy about investment in the strategy description part. Does Petty violate the Standard on V(B) Communication with Clients and Prospective Clients?

选项:

A.

Yes.

B.

No, she can only report the good part to reassure the clients.

C.

No, she violates another standard on Suitability.

解释:

A is correct.

To comply with Standard V(B) Communication with Clients and Prospective Clients, Petty should not only report the advantages of her strategy about investment, she also need to report the limitations and risks of her strategy. So, she violates this standard.

之前有道题说到是自己的观点,不必要说出所有的细节。但是不可以只说有点不说缺点是吗?

1 个答案

Debrah_品职答疑助手 · 2020年11月12日

嗨,从没放弃的小努力你好:


不必要说出所有细节,但是除了策略的优势,还需要说风险和局限性。不能只说优势。


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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!