greenturtle

回复 300# brianbenro


    那是选违反，还是选disclose呢

brianbenro

回复 302# greenturtle

忘了问题怎么问的了，呵呵。

greenturtle

回复 303# brianbenro


    题目应该是不违反，违反了因为买了restrict list，违反了因为没披露

reonade

看大家讨论了那么多，总结下最后一题关于alternative的
1，decision risk exposure? or concentration?
2, investment process (Quantitative)
3, Sharpe Ratio unbiased?
4, correlation is 0.3
5, survivorship bias
6, FOF disadvantage: higher cost

BAIDUBAIDU

哪位能弄个稍微有条理点的讨论出来, 纠缠住1/2道题反复, 没什么价值. 对错CFA说了算. 看看以前的讨论, 很佩服那些记忆牛人

becool

In the last question, part 2,  is "investment process" the correct answer?

By the way, In question 1, (PM) is that the referred fee should be disclosed?

cliveltw

回复 305# reonade

   Q5是问什么呢？

becool

one RM introduces a financial product (which is top fund or something) to a client. but he didn't get any special payment for selling it.

One question: what is the violation if only sell this product? (suitbility , representation,...?)
The other question: Is there any violation during the process? (No, Yes, need disclores, ...?)

reonade

道德总结下:
1, analyst work at home.... 不违反
2, compliance manager: 违反没及时沟通
3, one analyst give low-risk, after research (medium risk), still give low-risk。 violate reasonable base?
4, proxy voting: 该disclose给潜在客户
5, restricted list: 不违反?
6,只给客户介绍高收益的bond fund, 违反suitability.
7, 离职了，开新公司，present以前的业绩，即使经过公司同意. 违反，完全不能present以前的业绩？
。。。。。。

becool

my ideas:
道德总结下:
1, analyst work at home.... 不违反
2, compliance manager: 违反没及时沟通 (forget the question?)
3, one analyst give low-risk, after research (medium risk), still give low-risk。 violate reasonable base?  (option or fact?)
4, proxy voting: 该disclose给潜在客户  The whole process is wrong, should not go with the will of companies
5, restricted list: 不违反? No.
6,只给客户介绍高收益的bond fund, 违反suitability. Same
7, 离职了，开新公司，present以前的业绩，即使经过公司同意. 违反，完全不能present以前的业绩？
。。。。。。