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kevinzhu · 2020年08月28日

问一道题:NO.PZ2016032801000018 [ CFA I ]

问题如下:

Which of the following is a correct statement of a member’s or candidate’s duty under the Code and Standards?

选项:

A.

In the absence of specific applicable law or other regulatory requirements, the Code and Standards govern the member’s or candidate’s actions.

B.

A member or candidate is required to comply only with applicable local laws, rules, regulations, or customs, even though the Code and Standards may impose a higher degree of responsibility or a higher duty on the member or candidate.

C.

A member or candidate who trades securities in a securities market where no applicable local laws or stock exchange rules regulate the use of material nonpublic information may take investment action based on material nonpublic information.

解释:

A is correct.

because this question relates to Standard I(A) –Knowledge of the Law specifically, global application of the Code and Standards. Members and candidates who practice in multiple jurisdictions may be subject to various securities laws and regulations. If applicable law is more strict than the requirements of the Code and Standards, members and candidates must adhere to applicable law; otherwise, members and candidates must adhere to the Code and Standards. Therefore, answer A is correct. Answer B is incorrect because members and candidates must adhere to the higher standard set by the Code and Standards if local applicable law is less strict. Answer C is incorrect because when no applicable law exists, members and candidates are required to adhere to the Code and Standards, and the Code and Standards prohibit the use of material nonpublic information.

选项B需要解释一下,跟选项A的区别

1 个答案

王暄_品职助教 · 2020年08月29日

嗨,爱思考的PZer你好:


B选项的意思:当CFA准则比当地的法律法规更加严格的时候,CFA会员或者候选人还是应该遵守当地的法律法规。

  • CFA准则规定,我们应该遵守更为严格的法律或规定,所以B是错的。

A选项的意思:当地法律法规没有具体规定的时候,CFA的会员或者候选人应该遵守CFA的准则。

  • A选项是遵守了CFA准则的内容的。所以A正确。

 

 


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