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Garygary · 2024年11月25日

risk and limitation

  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.

请问题目出自笔记那一部分？谢谢

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1 个答案

王暄_品职助教 · 2024年11月25日

选项C在笔记中没有明确写出来，但符合 Standard I Professionalism的宗旨：

选项C：“解决向客户提出的建议的风险和局限性。”

  • 这个选项是正确的。随着新的和奇异的金融工具和策略的不断发展，与客户沟通的标准现在隐含了一个要求，即讨论向客户提出的建议的风险和局限性。这是为了确保客户能够充分了解所接受建议的潜在风险和限制，从而做出更加明智的决策。符合专业性的要求，该准则要求我们需要保持专业性，符合各种监管要求，在对客户的称述中不可以有任何误导性称述，且不可以产生职业相关的错误行为。因此，C选项符合准则的内容。

且通过排除法也可以排除A和B

选项A：“要求监督者专注于违规行为的检测和预防。”

  • 这个选项不正确，因为虽然监督者确实需要关注违规行为的检测和预防，但修订后的标准对于负有监督职责的会员和候选人提出了更广泛的合规期望。这不仅仅局限于检测和预防违规行为，还包括了其他方面的合规管理。因此，A选项的表述过于狭隘，没有全面反映准则的内容。

选项B：“为CIPM和投资基础等项目采用单独的伦理考量。”

  • 这个选项也是错误的。CFA道德准则中并没有为CIPM（特许投资经理计划）和投资基础等项目设立单独的伦理考量。


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