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Crux🃏 · 2020年09月13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.

A选项在说什么,凑字数凑字数

1 个答案

王暄_品职助教 · 2020年09月15日

嗨,从没放弃的小努力你好:


如果当地的法律法规没有具体对职业道德的规定,那么CFA会员就要根据CFA准则来约束自己的行为


-------------------------------
就算太阳没有迎着我们而来,我们正在朝着它而去,加油!


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NO.PZ2016032801000018问题如下 Whiof the following is a correstatement of a member’s or cante’s ty unr the Co anStanr?A.In the absenof specific applicable lor other regulatory requirements, the Co anStanr govern the member’s or cante’s actions.B.A member or cante is requireto comply only with applicable loclaws, rules, regulations, or customs, even though the Co anStanr mimpose a higher gree of responsibility or a higher ty on the member or cante.C.A member or cante who tras securities in a securities market where no applicable loclaws or stoexchange rules regulate the use of materinonpublic information mtake investment action baseon materinonpublic information.A is correct.because this question relates to StanrI(–Knowlee of the L — specifically, globapplication of the Co anStanr. Members ancantes who practiin multiple jurisctions msubjeto various securities laws anregulations. If applicable lis more striththe requirements of the Co anStanr, members ancantes must aere to applicable law; otherwise, members ancantes must aere to the Co anStanr. Therefore, answer A is correct. Answer B is incorrebecause members ancantes must aere to the higher stanrset the Co anStanr if locapplicable lis less strict. Answer C is incorrebecause when no applicable lexists, members ancantes are requireto aere to the Co anStanr, anthe Co anStanr prohibit the use of materinonpublic information.麻烦翻译一下,什么意思?

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