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lixiaobai · 2021年05月16日

是这个意思吗


老师,我有两个疑问:


1. A one- time investment loss that occurs after the disclosure does not constitute a pertinent factor in assessing whether significant risks and limitations were properly disclosed

一次性的损失如果你事先披露了,就不违反披露原则。 ------我纳闷了,他事先也不会预测到有这种一次性损失啊,这种是意外事件,如何做到事先披露啊?


2.Having no knowledge of a risk or limitation that subsequently triggers a loss may reveal a deficiency in the diligence and reasonable basis of the research of the member or candidate but may not reveal a breach of Standard V(B).

----这个意思是如果因为基金经理对风险或者某些限制无知导致的损失,不违反“与客户和潜在客户的沟通”,但违反勤勉尽责。是吗?

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王暄_品职助教 · 2021年05月17日

1. A one- time investment loss that occurs after the disclosure does not constitute a pertinent factor in assessing whether significant risks and limitations were properly disclosed

一次性的损失如果你事先披露了,就不违反披露原则。 ------我纳闷了,他事先也不会预测到有这种一次性损失啊,这种是意外事件,如何做到事先披露啊?


这里说的是V(B)这条:在投资前告诉投资者接下来的投资会产生什么样的风险即可,并不是让你披露某个随机事件。

2.Having no knowledge of a risk or limitation that subsequently triggers a loss may reveal a deficiency in the diligence and reasonable basis of the research of the member or candidate but may not reveal a breach of Standard V(B).

----这个意思是如果因为基金经理对风险或者某些限制无知导致的损失,不违反“与客户和潜在客户的沟通”,但违反勤勉尽责。是吗?


是的,这就是【黑天鹅】事件了。

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