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摩羯大小姐 · 2022年02月05日

为什么A不对

NO.PZ2018062009000068

问题如下:

Q. Which of the following statements best describes an aspect of the Standards of Professional Conduct? Members and candidates are required to:

选项:

A.

ensure any portfolio mandate followed is fair, accurate, and complete.

B. promptly disclose changes that might materially affect investment processes.

C. have a reasonable and adequate basis for decisions about client confidentiality.

解释:

B is correct. The current Standards of Professional Conduct requires members and candidates to promptly disclose any changes that might materially affect investment processes.

A is incorrect because under Standard III.C.2 Suitability, when members and candidates are responsible for managing a portfolio according to a specific mandate, they must take only investment actions that are consistent with the stated objectives of the portfolio. The “fair, accurate, and complete” criterion relates to the Standard III D Performance Presentation.

C is incorrect because under Standard III.E.1, 2, 3 Preservation of Confidentiality, members and candidates must keep information about current clients confidential unless the information concerns illegal activities on the part of the client, disclosure is required by law, or the client permits disclosure. No decisions on confidentiality are required, with the “reasonable and adequate basis” criterion related to Standard V.A.2 Diligence and Reasonable Basis.

为什么A不行,为什么一定是B

1 个答案
已采纳答案

王暄_品职助教 · 2022年02月06日

A的意思是:确定所有的mandate都要准确,公平,完整。错误,因为mandate是portfolio的风格,比如是投资大盘价值股还是小盘成长股,所以这种风格投资经理自己确定即可,没有准确,公平,完整这一说。

准确,公平,完整的披露是指在业绩称述方面需要准确,公平,完整,所以A选项属于张冠李戴。

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