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𝒜𝒩𝒥𝒜 安雅🎃 · 2022年02月22日

关于表述二的疑问

NO.PZ2016032801000016

问题如下:

Grey recommends the purchase of a mutual fund that invests solely in long-term US Treasury bonds. He makes the following statements to his clients:

I.  "The payment of the bonds is guaranteed by the US government; therefore, the default risk of the bonds is virtually zero."

II.  "If you invest in the mutual fund, you will earn a 10% rate of return each year for the next several years based on historical performance of the market."

Did Grey’s statements violate the CFA Institute Code and Standards?

选项:

A.

Neither statement violated the Code and Standards.

B.

Only statement I violated the Code and Standards.

C.

Only statement II violated the Code and Standards.

解释:

C is correct.

This question involves Standard I(C) –Misrepresentation. Statement I is a factual statement that discloses to clients and prospects accurate information about the terms of the investment instrument. Statement II, which guarantees a specific rate of return for a mutual fund, is an opinion stated as a fact and, therefore, violates Standard I(C). If statement II were rephrased to include a qualifying statement, such as  "in my opinion, investors may earn . . . ," it would not be in violation of the Standards.


强化课讲义提到【如果本身return是可以保证的,也可以guarantee】。

  1. 题目中的表述二里面有个based on historical performance,这样足以说明return是可以保证的吗?
  2. “本身return是可以保证的”,这句话通常会有哪些表述?


谢谢老师解答。

1 个答案
已采纳答案

王暄_品职助教 · 2022年02月22日

题目中的表述二里面有个based on historical performance,这样足以说明return是可以保证的吗?

不可以保证,尽管基于历史收益,但将来的收益永远不可以保证

“本身return是可以保证的”,这句话通常会有哪些表述?

其实可以保证收益的return在多数情况下只有国债,只有国债将来的收益才是确定的,那么如果manager保证国债收益,我们认为没有问题。

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