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颖哲 · 2021年04月18日

这题为什么不选A

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NO.PZ201604030300004102

问题如下:

2. With respect to the commodities positions, which of the following actions best describes Black’s violation of the CFA Institute Standards of Professional Conduct? Black violated CFA Institute Standards by:

选项:

A.

buying an asset class in which she has no prior management experience.

B.

buying assets that are inconsistent with the portfolio’s Investment Policy Statement.

C.

failing to notify the client that she would temporarily deviate from the client’s Investment Policy Statement.

解释:

B is correct.

Under no circumstances should a manager take investment action that is inconsistent with the client’s IPS.

这题为什么不选A?没有经验不违反due diligence吗
1 个答案
已采纳答案

王暄_品职助教 · 2021年04月18日

之前没有经验并不违反diligence and reasonable basis

这个条款的主要原则是在做投资决策的时候,要保持审慎,对待研究过程要尽职尽责。没有规定没有经验就不能做。同学可以参考下图强化班讲义。

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