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本帖最后由 lykid20112011 于 2015-5-15 17:30 编辑
Kelly Amadon, CFA, an investment adviser, has two clients: Ryan Randolf, 65 years old, and Keiko
Kitagawa, 45 years old. Both clients earn the same amount in salary. Randolf, however, has a large
amount of assets, whereas Kitagawa has few assets outside her investment portfolio. Randolf is single
and willing to invest a portion of his assets very aggressively; Kitagawa wants to achieve a steady rate
of return with low volatility so she can pay for her child's current college expenses. Amadon
recommends investing 20% of both clients' portfolios in the stock of very low-yielding small-cap
companies. Amadon least likely violated the CFA Institute Standards of Professional Conduct in regard
to his investment recommendations for:
a.only Kitagawa's portfolio.
b.both clients' portfolios.
c.only Randolf's portfolio. 正确答案
In Randolf's case, the investment may be appropriate given this client's financial circumstances and
aggressive investment position. This investment would not be suitable for Kitagawa because of her need
for a steady rate of return and her low-risk profile.
CFA Level I
"Guidance for Standards I–VII," CFA Institute
Standard III(C): Suitability |
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发表于 2015-5-15 17:27
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