滴同學(xué)
2024-05-08 21:31老師能不能麻煩講一下這道題？Gardner Knight, CFA, is a product development specialist at an investment bank. Knight is responsible for creating and marketing collateralized debt obligations (CDOs) consisting of residential mortgage bonds. In the marketing brochure for his most recent CDO, Knight provided a list of the mortgage bonds from which the CDO was created. The brochure also states “an independent third party, the collateral manager, has sole authority for the selection of all mortgage bonds used as collateral in the CDO.” However, Knight met with the collateral manager and contributed to determining the bonds included in the CDO. Knight is least likely to be in violation of which of the following Standards? A. Suitability B. Disclosure of Conflicts C. Communication with Clients and Prospective Clients
所屬：CFA Level I > 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
Danyi助教
2024-05-09 14:53
該回答已被題主采納
同學(xué)你好，
主人公是一家投資銀行的產(chǎn)品開發(fā)專家，負(fù)責(zé)創(chuàng)建和營銷CDO。在他最近的CDO營銷手冊(cè)中，提供了一份CDO的列表。小冊(cè)子還指出，“一個(gè)獨(dú)立的第三方，即抵押品管理人，對(duì)CDO中用作抵押品的債券擁有唯一的選擇權(quán)?！比欢魅斯珪?huì)見了抵押品管理人并幫助她選擇債券。
A正確，因?yàn)轭}干并沒有描述投資不適合投資者，沒有違反適合性。
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