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Zxxyyy · 2020年11月28日

问一道题：NO.PZ2016040301000004 [ CFA II ]

  1. CFA II
  2. Ethics

问题如下：

Which of the following statements clearly conflicts with the recommended procedures for compliance presented in the CFA Institute Standards of Practice Handbook?

选项：

A.

Firms should disclose to clients the personal investing policies and procedures established for their employees.

B.

Prior approval must be obtained for the personal investment transactions of all employees.

C.

For confidentiality reasons, personal transactions and holdings should not be reported to employers unless mandated by regulatory organizations.

解释：

C is correct.

This question asks about compliance procedures relating to personal investments of members and candidates. The statement in answer C clearly conflicts with the recommended procedures in the Standards of Practice Handbook. Employers should compare personal transactions of employees with those of clients on a regular basis regardless of the existence of a requirement by any regulatory organization. Such comparisons ensure that employees’ personal trades do not conflict with their duty to their clients, and the comparisons can be conducted in a confidential manner. The statement in answer A does not conflict with the procedures in the Handbook. Disclosure of such policies will give full information to clients regarding potential conflicts of interest on the part of those entrusted to manage their money. Answer B is incorrect because firms are encouraged to establish policies whereby employees clear their personal holdings and transactions with their employers.

问一下C为什么不符合准则？
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1 个答案

王暄_品职助教 · 2020年11月28日

CFA准则里鼓励公司建立policies，以便于知道员工的持股情况，这样方便检查员工有没有先于客户和雇主做个人账户的交易。所以需要定期向雇主披露持仓情况。

所以C里说不能报告给雇主，错误。

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Prior approvmust obtainefor the personinvestment transactions of all employees. For confintiality reasons, persontransactions anholngs shoulnot reporteto employers unless manteregulatory organizations. C is correct. This question asks about complianproceres relating to personinvestments of members ancantes. The statement in answer C clearly conflicts with the recommenproceres in the Stanr of PractiHanook. Employers shoulcompare persontransactions of employees with those of clients on a regulbasis regaress of the existenof a requirement any regulatory organization. Sucomparisons ensure themployees’ persontras not confliwith their ty to their clients, anthe comparisons cconctein a confintimanner. The statement in answer A es not confliwith the proceres in the Hanook. sclosure of supolicies will give full information to clients regarng potenticonflicts of interest on the part of those entrusteto manage their money. Answer B is incorrebecause firms are encourageto establish policies whereemployees cletheir personholngs antransactions with their employers. 这道题中文讲解下，谢谢

2020-10-08 10:27 1 · 回答

Prior approvmust obtainefor the personinvestment transactions of all employees. For confintiality reasons, persontransactions anholngs shoulnot reporteto employers unless manteregulatory organizations. C is correct. This question asks about complianproceres relating to personinvestments of members ancantes. The statement in answer C clearly conflicts with the recommenproceres in the Stanr of PractiHanook. Employers shoulcompare persontransactions of employees with those of clients on a regulbasis regaress of the existenof a requirement any regulatory organization. Sucomparisons ensure themployees’ persontras not confliwith their ty to their clients, anthe comparisons cconctein a confintimanner. The statement in answer A es not confliwith the proceres in the Hanook. sclosure of supolicies will give full information to clients regarng potenticonflicts of interest on the part of those entrusteto manage their money. Answer B is incorrebecause firms are encourageto establish policies whereemployees cletheir personholngs antransactions with their employers. 老师请问，这题是在哪条准则下的呢？

2020-10-08 08:06 1 · 回答

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2019-05-22 00:45 1 · 回答

这道题为什么不选B？    

2019-04-28 22:31 1 · 回答