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舒同学2018-11-18 17:33:16

03.单选题 收藏 标记 纠错 Which of the following statements clearly conflicts with the recommended procedures for compliance presented in the CFA Institute Standards of Practice Handbook? 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. 这道题的解析为什么没有声音?

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Bingo2018-11-19 13:05:27

同学你好,这题问的是以下哪一个选项与CFA准则有明显的冲突。这题选择C。
C选项说,出于保密原因,个人的交易不应向雇主披露,除非监管机构有特定的要求。这是不正确的。CFA协会是有要求将个人持股情况向雇主披露的,这样雇主才可以判断雇员的个人交易是否会损害客户的利益。

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