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标题: Ethics question- Reading 2 Page 126 CFAI [打印本页]

作者: mkytz15    时间: 2013-4-8 18:29     标题: Ethics question- Reading 2 Page 126 CFAI

With regards to the vignette at the end of Reading 2, page 126, aren’t retention records required for 7 years and not five years as the portfolio managers Khadri and Vinken seem to have adopted? Therefore none of the three available answers are accurate.
TIA
作者: marsilni    时间: 2013-4-8 18:29

I agree completely. AMC requires 6 years and standards require 7 years of records-right?
I think Vinken is not in compliance




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