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梦理实 · 2021年12月23日

这一部分的原版书习题是新增的吗？

  1. CFA I
  2. Ethics

NO.PZ2018062009000073

问题如下：

Q. The Investment Analysis, Recommendations, and Actions standard states that members and candidates must:

选项：

A.

find an investment suitable for their client before making a recommendation.

B.

make reasonable efforts to ensure that performance presentation is fair, accurate, and complete.

C.

distinguish between fact and opinion in the presentation of investment analysis and recommendations.

解释：

C is correct. The V.B.4 Communications with Clients and Prospective Clients section of the Investment Analysis, Recommendations, and Actions standard states that members and candidates must distinguish between fact and opinion in the presentation of investment analysis and recommendations.

A is incorrect because this standard is discussed in the III.C.1b Suitability section of the Duties to Clients standard.

B is incorrect because performance presentation is discussed in the III.D Performance Presentation section of the Duties to Clients standard.

请具体解释下错误原因吧，谢谢

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1 个答案

王暄_品职助教 · 2021年12月24日

本题主要想考察【communication with clinets and prospective clients】这一块, 也就是在做投资分析，投资建议，和投资行为的时候，必须要分清楚事实和观点，不能混淆事实和观点。

而A.find an investment suitable for their client before making a recommendation说的是在和客户做出投资建议之前要先找出合适的投资产品，其实A本身没错，只是没有回答题目的问题

B.make reasonable efforts to ensure that performance presentation is fair, accurate, and complete.同样，本身没说错，只是B在说当客户经理在对客户披露业绩的时候，要如实，完整，准确的披露。这个并没有回答本题的问题。

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