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Annie · 2019年03月02日

问一道题:NO.PZ201604030300004506 第6小题 [ CFA III ]

* 问题详情,请 查看题干

为什么不违反C呢?是因为问的是when responding to the client么?

问题如下图:

选项:

A.

B.

C.

解释:

1 个答案

发亮_品职助教 · 2019年03月05日

对的,可以从Responding to client的角度理解。Performance presentation发生在Respond之前。


Performance presentation主要是保证展示的业绩是:fair, accurate, and complete。

这道题涉及到的信息如下:

After the quarterly newsletter is distributed, a client contacts Khadri claiming that the Westlake Fund actually underperformed the benchmark during the quarter.

After researching the issue, Khadri confirms that the client is correct and sends him a letter in which she provides the corrected results.

其实到这里都没有违反。在业绩展示时,是允许出现业绩展示错误的,只要不是故意虚增业绩,打印错误等只要及时改正即可。

所以他并没有违反Peformance presentation。


In her letter to the client, she blames the discrepancy—which was the result of a human typographical error—on a computer programming error.

在这里,他故意将human typo error说成是Computer error。所以违反了Misconduct,因为这是dishonesty, fraud, or deceit的行为。

第二个就是违反了Misrepresentation,故意错误的陈述。

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