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"morality" exercise:Ethics of the US Food and Drug Administration

來源: 正保會計網校 編輯:小鞠橘桔 2020/11/27 09:50:40  字體:

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Questions 1:

Priscilla Moab, CFA, is the director of marketing at Red Lantern Investments. Red’s investment approach uses technical and fundamental analysis as well as portfolio construction to minimize risk. Moab plans to market an online investment newsletter to retail clients. Moab decides to let prospective clients have access to Red’s buy and sell recommendation list by posting this information on a social media site. The posting also provides information on Red’s basic investment process and logic. To avoid viol the CFA Institute Code of Ethics and Standards of Professional Conduct, Moab should most likely:

A、 describe the investment approach in detail. 

B 、update investment process changes annually.

C、 indicate that additional information and analysis are available.

Questions 2:

The Global Investment Performance Standards (GIPS) least likely require:

A、 non-discretionary portfolios to be included in composites. 

B 、non–fee-paying portfolios to be excluded in the returns of appropriate composites. 

C 、composites to be defined according to similar investment objectives and/or strategies. 

View answer resolution
【Answer to question 1】C

【analysis】

C is correct because if recommendations are contained in capsule form (such as a recommended stock list), members and candidates should notify clients that additional information and analysis are available from the producer of the report as required by Standard V(B)–Communication with Clients and Prospective Clients. In this case, a clear statement on the website that more information is available upon request would be required. 

A is incorrect because Moab’s plans for the social media recommendations do not violate Standard V(B)–Communication with Clients and Prospective Clients, so it does not need to describe the investment system in detail. The recommendation outlines the basic process and logic of Red’s investment approach and is sufficient enough for clients to understand its limitations or inherent risks.

 B is incorrect because according to Standard V(B)–Communication with Clients and Prospective Clients, the member or candidate must keep clients and other interested parties informed on an ongoing basis about changes to the investment process, and an annual update may not be sufficient.

【Answer to question 2】A

【analysis】

A is correct because composites must be defined according to similar investment objectives and/or strategies. Terminated portfolios must be included in the historical returns of appropriate composites while only fee-paying portfolios are to be included in composites. Non-discretionary portfolios must not be included in a firm’s composites.

 B is incorrect because only fee-paying portfolios are to be included in composites. 

C is incorrect because composites are required to be made up of portfolios with similar investment objectives and/or strategies.

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