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回复 300# brianbenro


    那是选违反,还是选disclose呢

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回复 302# greenturtle

忘了问题怎么问的了,呵呵。

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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

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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

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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

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本帖最后由 becool 于 2012-6-6 16:24 编辑

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?

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回复 305# reonade

   Q5是问什么呢?

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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, ...?)

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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?
。。。。。。

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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?
。。。。。。

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