NO.PZ202301190200001105
问题如下:
Are Wilson’s closing remarks consistent with recommended practices and procedures designed to prevent violations of the Asset Manager Code of Professional Conduct?
选项:
A.Yes.
B.No, with regard to the business continuity plan.
C.No, with regard to disclosure of the firm’s risk management process.
解释:
根据CFA Institute的《道德规范与专业行为准则》,标准V(A)勤勉尽责和合理依据,要求应在所有层面上采取适当的风险管理措施。Wilson的建议中提到,虽然应当披露公司的风险管理实践,但她的最后一项关于业务持续性计划的建议未充分考虑如何在发生紧急情况时向客户和相关利益方提供必要的信息,这可能导致对客户的风险管理披露不够全面。
原文中说会develop plan并且method to communicate to client,为什么不算是有足够的遵守