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圣灵霜子 · 2020年11月12日

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

* 问题详情,请 查看题干

问题如下:

6. When responding to the client complaint regarding Westlake’s performance, Khadri least likely violates the Standard relating to:

选项:

A.

misconduct.

B.

misrepresentation.

C.

performance presentation.

解释:

C is correct.

As Khadri provides the corrected information in her letter to the client, she is least likely to violate the Standard relating to performance presentation. She is more likely to violate the Standards relating to Misconduct and Misrepresentation because she knowingly misrepresents the cause of the error. Standard I(D) —Misconduct requires that members not engage in any professional conduct involving dishonesty. Standard I(C) prohibits members from knowingly making any misrepresentation relating to investment actions and professional activities.

他只是respond to client,并没有改正算错了的performance 这个不算违反C吗?
2 个答案

Debrah_品职答疑助手 · 2020年11月13日

所以在这里,他违反的是Misrepresentation,而不是Performance presentation。

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。也违反Misrepresentation

Performance presentation更多的是虚假业绩的陈述。请注意区分

Debrah_品职答疑助手 · 2020年11月12日

嗨,爱思考的PZer你好:


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。


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虽然现在很辛苦,但努力过的感觉真的很好,加油!


圣灵霜子 · 2020年11月12日

只要改正就可以,但是他没有改正呀。。。

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