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西红柿面 · 2025年06月09日

这个报表频率是按照AMC的要求所以是季度披露的吗?

NO.PZ2024022002000101

问题如下:

In accordance with the Standard for loyalty, prudence, and care, what is an advisable approach for members to adhere to? Members are advised to:

选项:

A.Completely remove all real and potential conflicts of interest. B.Inform clients about every type of management compensation. C.Provide each client with a detailed account of their funds and securities in custody at least once a year.

解释:

Option B is correct. The recommended procedure for Standard III (A), Loyalty, Prudence, and Care, is that members and candidates should disclose all forms of manager compensation to their clients. This is crucial for clients to understand and evaluate any conflicts of interest. It's not mandatory to eliminate all conflicts, but disclosure is key. Also, regarding the frequency of statements, the requirement is quarterly, not annually.

这个报表频率是按照AMC的要求所以是季度披露的吗?(三级考生)

1 个答案

王暄_品职助教 · 2025年06月10日

不是按照AMC也是每季度披露一次客户账户情况,这是CFA Standards的要求。