NO.PZ202301190200000402
问题如下:
Under what circumstances would Ravinder’s suggested investment strategy for Canon most likely meet the requirements of Standard III(C)–Suitability? If Canon:选项:
A.had a different employment status. B.has numerous other investment portfolios. C.delays funding his son for at least five years.解释:
根据CFA Institute的《道德规范与专业行为准则》,标准III(C)适当性,要求在为客户制定投资策略时,必须充分考虑客户的财务状况、投资目标和风险承受能力。Canon的资金需求较为紧急,建议采取更激进的投资策略可能并不符合其长远的退休目标。如果Canon拥有其他投资组合,可以分散风险并实现资金目标,那么建议的激进投资策略更可能符合适当性的要求。
意思是为不同目标建不同的portfolio,各自有不同投资策略么?