问题 单项选择题

Rejesh Sekar, CFA, is a successful hedge fund manager and uses fundamental and technical statistical models to select stocks for his fund. When Bill Mandeville, a client asks him about the indicators underlying his models, Sekar tells Mandeville that his method is confidential but is proven to provide future returns similar to its p past performance. Sekar has most likely violated the Standards of Professional Conduct:()

A. only relating to performance presentation.

B. only relating to communication with clients and prospective clients.

C. both relating to performance presentation and communication with clients and prospective clients.

答案

参考答案:C

解析:

CFA会员不能说明或者暗示其有能力获得与过去相类似的业绩,否则违反了CFA协会的业绩披露行为标准。另外,Sekar在与客户及潜在客户沟通时没有区分事实和观点,对于复杂的统计分析,会员必须清楚地区分事实和统计结果,并且要确认已知的分析的限制,同时Sekar没有告诉客户其选择证券的基本流程与方法,所以也违反了与客户及潜在客户沟通的行为标准。

单项选择题 A1/A2型题
填空题