備考CFA考試每天一道CFA考試來了，你是不是在練習(xí)CFA考試道德知識(shí)呢？如果是的話，那你可以看看這道CFA考試題是如何做的，如果你知道如何做的話，那這個(gè)知識(shí)點(diǎn)你是掌握了！
Molly Burnett, CFA, is a portfolio manager for a fund that only invests in environmentally friendly companies. A multinational utility company recently acquired one of the fund's best-performing investments, a wind power company. The wind power company's shareholders received utility company shares as part of the merger agreement. The utility has one of the worst environmental records in the industry, but its shares have been one of the top performers over the past 12 months. Because the utility pays a high dividend every three months, Burnett holds the utility shares until the remaining two dividends arc paid for the year then sells the shares. Burnett most likely violated the CFA Institute Standard of Professional Conduct concerning:
A. Disclosure of Conflicts
B. Independence and Objectivity
C. Suitability
【答案I C
【解析】違背客戶IPS則違法了 Standard IH(C)-Suitability. IPS中包括客戶的目標(biāo)和限制，題干中表明客戶要求投資于環(huán)境友好的企業(yè)，但是持有的wind power company被一個(gè)對(duì)林境不友好的企業(yè)收購，那么此時(shí)該公司已經(jīng)不符合客戶的要求。
CFA知識(shí)點(diǎn)的學(xué)習(xí)是幫助學(xué)員更好掌握CFA的基本知識(shí)點(diǎn)，做題是為了檢驗(yàn)?zāi)氵@個(gè)知識(shí)點(diǎn)是不是掌握了。
