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silviaws · 2021年10月18日

想问下,正确应该如何表达?

Statement 1:Jacaranda looks for investments offering intrinsic value through a top-down approach, including a review of forecasts of economic and industry performance. We evaluate historical and projected company financials, perform extensive financial ratio analysis, conduct management interviews, and determine target prices using a variety of valuation models.

Statement 2:Jacaranda may, at times, hire outside advisers to manage real estate holdings on behalf of clients. These advisers have the necessary expertise to manage property assets.

Statement 3:Jacaranda has four CFA charterholders among its senior management. Their participation in the CFA Program has enhanced their investment management skills. All of these managers passed the three exams in the shortest time possible.

Q. Which marketing statement should Bukenya most likely revise to conform to the CFA Institute Standards of Professional Conduct?

  1. Statement 1
  2. Statement 2
  3. Statement 3

Solution

B is correct. Standard V(B)–Communication with Clients and Prospective Clients requires the firm to inform the clients about the specialization or diversification expertise provided by external adviser(s) when outside advisers are used to manage various portions of the clients’ assets under management. This information allows clients to understand the strategies being applied that affect their investment objectives. Stating “These advisers have the necessary expertise to manage property assets” is not likely to provide enough information for the clients to understand the investment methodologies or strategies implemented by the outside advisers.

A is incorrect because the statement gives clients and prospective clients a description of the investment process as required by Standard V(B)–Communication with Clients and Prospective Clients.

C is incorrect because Standard VII(B)–Reference to CFA Institute, the CFA Designation, and the CFA Program allows a statement to the effect that a member “passed all three CFA Examinations in three consecutive years”.


想问下,正确应该如何表达?

2 个答案

王暄_品职助教 · 2023年01月21日

请问一下老师,这道题中statement3为什么对。All of these managers passed the three exams in the shortest time possible可以这样说吗?我直觉上的看法是既无意义又不准确。与“全部科目取得最高分”一样违反准则。 不同级别的考期在不同年份中安排的时间并不相同而且机考也不是同一天考,怎么才算是最短时间考完三门呢? 这种最短既不能表示该candidate投资能力更好,也不能代表该candidate比其他没有在最短时间内完成的人更好,毫无意义。

这里的意思为:他们是最短时间内通过CFA三个级别的,可以理解为,连续三年通过三个级别,没有任何再战的情况,这是可以的。

并且这里所说的提高了投资能力也是事实,因为CFA确实可以提高对金融行业、金融资产、投资策略的理解,从而提高投资能力。

这些都是事实都是可以说的;

不能说的是,因为考虑CFA,能够取得更好的投资业绩,这是不可以的,因为即使有时候投资能力非常强,投资业绩也是多少受到行情的影响。

王暄_品职助教 · 2021年10月19日

准则要求公司在使用外部顾问管理客户管理资产的各个部分时,告知客户外部顾问提供的专业化或多元化专业知识。并非简单的说一句advisers have the necessary expertise to manage property assets,而是信息尽量详细。

我的世界守则 · 2023年01月20日

请问一下老师,这道题中statement3为什么对。All of these managers passed the three exams in the shortest time possible可以这样说吗?我直觉上的看法是既无意义又不准确。与“全部科目取得最高分”一样违反准则。 不同级别的考期在不同年份中安排的时间并不相同而且机考也不是同一天考,怎么才算是最短时间考完三门呢? 这种最短既不能表示该candidate投资能力更好,也不能代表该candidate比其他没有在最短时间内完成的人更好,毫无意义。

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