开发者:上海品职教育科技有限公司 隐私政策详情

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Aaabby · 2020年02月13日

问一道题:NO.PZ2019093001000014

问题如下:

Which of the following statements is consistent with the manager adhering to a stated investment philosophy and investment decision-making process?

选项:

A.

Senior investment team members have left to form their own firm.

B.

A senior employee has been cited by the SEC for violating insider trading regulations.

C.

A large drawdown occurs because of an unforeseen political event in a foreign country.

解释:

C is correct.

A large drawdown that results from an unforeseen event is explainable as a single isolated event that does not prohibit the manager from adhering to its investment philosophy and process. The events of senior team members leaving to form their own investment firm and an insider trading investigation by the SEC call into question the ability of the firm to adhere to its philosophy and decision-making process.

老师 这道题的考点是什么呢?

1 个答案

星星_品职助教 · 2020年02月14日

同学你好,

A,B,C三个选项都是公司面临的问题,但C选项是由于没有预见的外部原因导致的,而并不是因为公司的投资决策和自己事先陈述的的投资逻辑不一致所导致的。而A,B选项都是公司自身出了问题

考点需要复习“investment due dilligence”这个知识点