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裴佳慧 · 2024年07月18日

B是怎么错的

  1. CFA I
  2. Ethics

NO.PZ2018062009000066

问题如下：

Q. As stated in the revised 11th edition, the Standards of Professional Conduct:

选项：

A.

require supervisors to focus on the detection and prevention of violations.

B.

adopt separate ethical considerations for programs such as CIPM and Investment Foundations.

C.

address the risks and limitations of recommendations being made to clients.

解释：

C is correct. Given the constant development of new and exotic financial instruments and strategies, the standard regarding communicating with clients now includes an implicit requirement to discuss the risks and limitations of recommendations being made to clients.

A is incorrect because the updated standard for members and candidates with supervision or authority over others within their firms stresses broader compliance expectations, which include the detection and prevention aspects of the original version that was the prior focus.

B is incorrect because the updated standard not only maintains the integrity of the CFA Program but also expands the same (not separate) ethical considerations when members or candidates participate in such programs as the CIPM Program and the Investment Foundations Certificate.

B是怎么错的

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1 个答案

王暄_品职助教 · 2024年07月18日

选项B错误的原因在于，它提到“为CIPM和投资基础等课程采取单独的伦理考量”。然而，根据Standards of Professional Conduct第11版，实际情况是，Standards of Professional Conduct不仅维护了CFA项目的完整性，而且还扩展了相同的（而非单独的）伦理考量，当成员或候选人参与如CIPM项目和投资基础证书等课程时。这意味着，对于所有项目和课程，应用的伦理标准是统一的，而不是为特定项目设定单独的伦理标准。因此，B选项的表述与实际情况不符，所以是错误的。

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