看完AMCPC后，一直根深蒂固地认为必须要披露both gross-of-fee and net-of-fee returns. GIPS从来没仔细看过。。。结果做题再度栽倒。

种上来给大家踩踩。。。

GIPS的要求是披露either，不同于AMCPC...

某菜人泪奔语~~~

感谢楼主的分享！！

泪奔的是我一直没搞清楚过AMC的重要特点有哪些？或者说关键记忆内容有哪些？

看来看去跟ETHICS大部分都差不多啊

请教！

呵呵，我怎么觉得两个都是either啊

private equity composit要求both

PE要求都要披露。。。刚看到 GIPS有本册子 那里面讲非常详细 所以我想ethics pack里面好像没有全部涵盖吧？

原来PE都要求披露。。。抱拳~~~

回2楼：

个人整理的AMCPC教材考点。如果有用，尽管拿去

需要注意compliance officer相关题型，可能考的比这个细

Six components of AMCPC

1.       Loyalty to clients

2.       Investment process and actions

3.       Trading

4.       Compliance and support

5.       Performance and valuation

6.       Disclosures

Loyalty to clients:

1.       Designing salary arrangements

2.       Creating a procedure that delineates how confidential client information should be collected, utilized, and stored

3.       Creating an anti-money-laundering policy

4.       Determining what constitutes a token gift

Investment process and actions

1.       Never engage in market manipulation

2.       Deal fairly with all clients

3.       Thoroughly investigate and research different investment options and have a reasonable basis

Having different levels of service and products available to all clients and fully disclose

Conduct stress testing on derivative products

Compliance and support

1.       Hire a compliance officer report to CEO or BOD, responsible for training, updating procedures, and review employee trading practices

2.       Ensuring portfolio information to be disseminated to client is accurate and complete, and reviewed by a 3^rd party

3.       Appropriately maintaining records

4.       Employing qualified staff and adequate resources

5.       Instituting a contingency plan

Disclosures:

1.       Timely basis in an understandable manner

2.       Informed decision

3.       Disclose potential conflict of interests such as soft dollars

4.       Regulatory disciplinary actions against the manager

5.       Decision making process

6.       Return in both gross/net of fees, fee schedule, projection of fees charged, and itemized list of actual cost and fees

7.       Soft dollars used

8.       Quarterly and within 30 days

9.       Methods used in valuation

10.   Proxy voting

11.   How shares are allocated

12.   Audit results

强人们，我一点印象都没有