Doris
2023-07-28 01:502 和3 為什么不consistent呢？
所屬：CFA Level III > Ethical and Professional Standards 視頻位置 相關(guān)試題
來源： 視頻位置 相關(guān)試題
1個(gè)回答
Johnny助教
2023-07-30 16:56
該回答已被題主采納
同學(xué)你好
2錯(cuò)在randomly selected group，正確做法是Investment personnel should be required to direct their brokers to supply to firms duplicate copies or confirmations of all their personal securities transactions and copies of
periodic statements for all securities accounts。是投資人員要讓他們的broker把他們所有的個(gè)人交易記錄復(fù)制后上交給公司，而不是隨機(jī)抽一些投資人員去上交記錄
3錯(cuò)在只對5000元以上的交易做審批，應(yīng)該是 Investment personnel should examine all planned personal trades to identify possible conflicts prior to the execution of the trades. 所有的個(gè)人交易都需要做檢查是否會產(chǎn)生利益沖突
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