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- UID
- 592185
- 帖子
- 1
- 主题
- 1
- 注册时间
- 2013-12-2
- 最后登录
- 2013-12-2
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Gregor Pavlov, CFA, is a fund manager working for the general partner of a new private equity
fund. Pavlov includes in the fund marketing material his performance history from his previous
employer. He received permission from his former employer to take his historical return figures and
the supporting research reports he used to make the related investment decisions. Did Pavlov most likely violate the
CFA Institute Code of Ethics and Standards of Professional Conduct?
A No.
B Yes, regarding Loyalty.
C Yes, regarding Record Retention
请老师指点一下为什么答案是C， 原题给的说明是 Answer: Yes because even though Pavlov had his former employer’s permission to take his performance
record and supporting research reports with him, he does not have the underlying performance data to
support those historical return calculations and is, therefore, most likely in violation of Standard V (C)
Record Retention.
我还是不明白，请高人指点
谢谢！！！！！！！！！ |
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发表于 2013-12-2 06:06
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