NO.PZ2024022002000161
问题如下:
Portfolio manager Johanna Ayers, CFA, crafts an investment policy statement for a client, addressing their risk profile and investment goals. The client omits details of assets managed elsewhere, and Ayers only takes charge of the known assets. She also formulates a distinct investment strategy and asset allocation plan for these assets. Is this approach a likely breach of the suitability standard?
选项:
A.No breach has occurred.
B.Yes, due to segregating the investment strategy from the IPS.
C.Yes, for managing assets without full knowledge of the client's entire portfolio.
解释:
Option A is correct. As per Standard III (C), Suitability, an accurate suitability assessment ideally requires full disclosure of a client's financial assets. Nevertheless, when information is limited, the analysis must adapt to the available data. Ayers’ method of preparing a separate document for the investment strategy and asset allocation is within professional guidelines, making her approach compliant with the standards.没有违背suitability ,有没有违背其他的