开发者:上海品职教育科技有限公司 隐私政策详情

应用版本:4.2.11(IOS)|3.2.5(安卓)APP下载

Roddy · 2020年10月07日

问一道题:NO.PZ2016040303000039 [ CFA III ]

问题如下:

Paper was recently terminated as one of a team of five managers of an equity fund. The fund had two value-focused managers and terminated one of them to reduce costs. In a letter sent to prospective employers, Paper presents, with written permission of the firm, the performance history of the fund to demonstrate his past success.

选项:

A.

Paper did not violate the Code and Standards.

B.

Paper violated the Code and Standards by claiming the performance of the entire fund as his own.

C.

Paper violated the Code and Standards by including the historical results of his prior employer.

解释:

B  is correct.

Answer Paper has violated Standard III(D) –Performance Presentation by not disclosing that he was part of a team of managers that achieved the results shown. If he had also included the return of the portion he directly managed, he would not have violated the standard. Thus, answer A is incorrect. Answer C is incorrect because Paper received written permission from his prior employer to include the results.

题目里也没说Paper把所有的功劳都算在自己头上呀
1 个答案

Debrah_品职答疑助手 · 2020年10月09日

嗨,爱思考的PZer你好:


注意题干第一句,原来的Equity fund是有5个Manager共同管理的,本题的主人Paper是其中Value-focused的基金经理之一,所以在披露这个Fund的业绩时,要说明该Fund业绩不是他独立完成的,是团队完成的,这样才能保证披露的Accurate, Fair, and Complete.


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2022-08-02 17:46 1 · 回答

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2021-11-19 21:04 2 · 回答

此题不是有说得到了written permission了么?为何也不能披露过去业绩

2019-03-30 19:20 1 · 回答