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刘同学2019-08-09 22:47:42

Micheal, a Level III CFA candidate, is the business development manager for an investment management firm with high-net-worth retail clients throughout Africa. This investment management firm introduced listed Kenyan REITs (real estate investment trusts) to its line of investment products based on new regulations introduced in Kenya to diversify its product offering to clients. The product introduction was based on diligence and reasonable basis coming after months of researching Kenyan property correlations with other property markets and asset classes in Africa. Micheal was assigned as part of the sales team that will introduce this product to its clients across Africa. Micheal determines that most of client’s portfolios would benefit from the diversification. By promoting the Kenyan REITs for client portfolios as planned, Micheal would least likely violate which of the following standards? A Suitability. B Independence and Objectivity. C Knowledge of the Law. 这个题读不懂

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Paul2019-08-12 14:55:11

同学你好,这题是M同学,为高净值客户做资产配置,现在公司想引入RIETs,来帮助客户做资产的分散化管理,这个产品经过了净值调查和详细的分析,然后开战了销售,问的是最没有可能违反的是什么?
那么既然做到了净值调查和详细的分析,就不会再违反独立客观,并没有收受好处,也做了客观的分析。
但是A是否违反适当性了,这个是有可能的,好的产品未必适合所有客户,c说的是知法守法,也是有可能违反的,因为这里没有法律方面的分析。

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