这道题完全看不懂啊，没头没尾，烦请老师讲一下谢谢

NO.PZ2024022002000044

问题如下：

Faced with a coercive offer from a fund official, Norman Bosno, CFA, evaluates an investment in Starlite Construction for a Sovereign Wealth Fund. His swift analysis deems it high-risk. If Bosno accepts the investment under these circumstances, which standard is he least likely breaching?

选项：

A.Adherence to Client’s Best Interests B.Meticulous Evaluation and Justification C.Proper Handling of Supplementary Compensation

解释：

Option B is correct. Even though Bosno's analysis was brief, it does not imply that he lacked thoroughness or failed to base his decision on sound reasoning. His conclusion about the investment's risk may still align with diligent and reasonable evaluation standards.

这道题完全看不懂啊，没头没尾，烦请老师讲一下谢谢

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1 个答案

王暄_品职助教 · 2025年05月08日

Bosno被基金官员胁迫（coercive offer），快速分析了Starlite Construction的投资，认为其高风险，但仍可能被迫接受。问：如果最终接受这笔投资，他最不可能违反哪条准则？

A选项（客户利益优先）：若被迫接受不符合客户利益的投资，显然违反。

C选项（额外报酬处理）：题目未提报酬问题，但“胁迫”可能隐含利益冲突，不能完全排除。

B选项（审慎评估）：Bosno虽快速分析，但已明确得出“高风险”结论，说明评估过程存在，最不可能违反此条。

选B，因为他的分析本身是合理的，违规压力来自外部（胁迫），而非评估过程。

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NO.PZ2024022002000044问题如下Facewith a coercive offer from a funofficial, NormBosno, CFevaluates investment in Starlite Construction for a Sovereign Wealth Fun His swift analysis ems it high-risk. If Bosno accepts the investment unr these circumstances, whistanris he least likely breaching?A.Aerento Client’s Best InterestsB.Meticulous Evaluation anJustificationC.Proper Haning of Supplementary CompensationOption B is correct. Even though Bosno's analysis wbrief, it es not imply thhe lackethoroughness or faileto base his cision on sounreasoning. His conclusion about the investment's risk mstill align with ligent anreasonable evaluation stanr.谢谢老师，我选了C，如下原因，StanrVI(B)禁止接受影响独立性的额外报酬，但题干未提及Bosno因个人利益（如贿赂）接受投资，仅描述“胁迫性提议”。胁迫属于外部压力，与“额外报酬”无直接关联，因此最不可能违反此标准。

2025-05-08 10:01 1 · 回答