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yo · 2021年02月11日

问一道题


请问正确答案是哪一个,解释没看懂,请帮忙解释一下

1 个答案

王暄_品职助教 · 2021年02月12日

同学提供的答案应该有误,我这里给你复制了正确的答案。

C is correct. Given the constant development of new and exotic financial instruments and strategies, the standard regarding communicating with clients now includes an implicit requirement to discuss the risks and limitations of recommendations being made to clients.

A  is incorrect because the updated standard for members and candidates with supervision or authority over others within their firms stresses broader compliance expectations, which include the detection and prevention aspects of the original version that was the prior focus.

B  is incorrect because the updated standard not only maintains the integrity of the CFA Program but also expands the same (not separate) ethical considerations when members or candidates participate in such programs as the CIPM Program and the Investment Foundations Certificate.

我的解释如下:

选项A错误:因为改版后的准则要求supervisor即focus在CFA准则上,也focus在公司的准则上。

选项B错误,因为改版后的准则并没有sperate ethical considerations(我感觉B就是凑选项的)

选项C正确,因为改版后的准则现在要求在与客户沟通的时候要讨论投资建议中的风险及限制。

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