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

颖哲 · 2021年04月18日

这题为什么不选A

* 问题详情,请 查看题干

NO.PZ201604030300004102

问题如下:

2. With respect to the commodities positions, which of the following actions best describes Black’s violation of the CFA Institute Standards of Professional Conduct? Black violated CFA Institute Standards by:

选项:

A.

buying an asset class in which she has no prior management experience.

B.

buying assets that are inconsistent with the portfolio’s Investment Policy Statement.

C.

failing to notify the client that she would temporarily deviate from the client’s Investment Policy Statement.

解释:

B is correct.

Under no circumstances should a manager take investment action that is inconsistent with the client’s IPS.

这题为什么不选A?没有经验不违反due diligence吗
1 个答案
已采纳答案

王暄_品职助教 · 2021年04月18日

之前没有经验并不违反diligence and reasonable basis

这个条款的主要原则是在做投资决策的时候,要保持审慎,对待研究过程要尽职尽责。没有规定没有经验就不能做。同学可以参考下图强化班讲义。

  • 1

    回答
  • 4

    关注
  • 979

    浏览
相关问题

NO.PZ201604030300004102 问题如下 2. With respeto the commoties positions, whiof the following actions best scribes Black’s violation of the CFA Institute Stanr of ProfessionConct? BlaviolateCFA Institute Stanr by: A.buying asset class in whishe hno prior management experience. B.buying assets thare inconsistent with the portfolio’s Investment PoliStatement. C.failing to notify the client thshe woultemporarily viate from the client’s Investment PoliStatement. B is correct.Unr no circumstances shoula manager take investment action this inconsistent with the client’s IPS. 课后题讲解里老师说按照ethics的条款,可以投自己不熟悉的资产,但是AMC第二点里面明确说了不能这么做。这题对A的感觉比较牵强,虽然ethics和AMC适用的主体不一样,但是投一个自己之前都没有管理经验的资产怎么样都不像e ligence了吧,考试碰到这种情况怎么判断

2024-06-23 15:54 2 · 回答

NO.PZ201604030300004102问题如下2. With respeto the commoties positions, whiof the following actions best scribes Black’s violation of the CFA Institute Stanr of ProfessionConct? BlaviolateCFA Institute Stanr by:A.buying asset class in whishe hno prior management experience.B.buying assets thare inconsistent with the portfolio’s Investment PoliStatement.C.failing to notify the client thshe woultemporarily viate from the client’s Investment PoliStatement.B is correct.Unr no circumstances shoula manager take investment action this inconsistent with the client’s IPS.重大变动要通知客户不是吗

2024-06-20 11:12 1 · 回答