开发者:上海品职教育科技有限公司 隐私政策详情

应用版本:4.2.11(IOS)|3.2.5(安卓)APP下载

吉尼是我 · 2019年05月22日

问一道题:NO.PZ201604030300004502 第2小题

* 问题详情,请 查看题干

问题如下图:

    

选项:

A.

B.

C.

解释:


不是应改遵守更严格的规定吗?

1 个答案
已采纳答案

发亮_品职助教 · 2019年05月22日

他们俩的Record retention是没有问题的。

Record retention这条准则只规定了要保留记录,但是没有规定具体的年限。


如果当地法律、公司规定没有关于Record retention年限的具体要求,CFA ethics是建议保存7年。如下来自原版书:

In the absence of regulatory guidance or firm policies, CFA Institute recommends maintaining records for at least seven years.

  • 1

    回答
  • 0

    关注
  • 397

    浏览
相关问题

NO.PZ201604030300004502 问题如下 2. Are the recorretention policies of both Khai anVinken consistent with CFA Institute Stanr? A.Yes. B.No, Khai’s poliis not consistent. C.No, Vinken’s poliis not consistent. A is correct.The policies of both Khai anVinken are consistent with StanrV(— RecorRetention, whistates thmembers ancantes must velop anmaintain appropriate recor to support their investment analyses, recommention, actions, performananother communications with clients anprospective clients. The recor requireto support recommentions anor investment actions penon the role of the member or cante in the investment cision-making process. Recor cmaintaineeither in harcopy or electronic form. Even though they use fferent metho, Khai anVinken eamaintain the appropriate recor anhave aquate systems of recorcontrol. 只看到实际操作是按照5年执行的,但没有看到哪里写地方、公司政策要求5年。

2024-02-05 10:33 1 · 回答

No, Khai’s poliis not consistent. No, Vinken’s poliis not consistent. A is correct. The policies of both Khai anVinken are consistent with StanrV(— RecorRetention, whistates thmembers ancantes must velop anmaintain appropriate recor to support their investment analyses, recommention, actions, performananother communications with clients anprospective clients. The recor requireto support recommentions anor investment actions penon the role of the member or cante in the investment cision-making process. Recor cmaintaineeither in harcopy or electronic form. Even though they use fferent metho, Khai anVinken eamaintain the appropriate recor anhave aquate systems of recorcontrol.老师您好,虽然有regulator 5 years的规定,CFA里也说了当地有法律法规的话要遵守当地的法律法规,但CFA还要求遵守较严的(相比之下CFA里要求的是7年,更严格),为什么可以按照5年来遵守?这个问题我从一级一直有,是我哪里理解错了吗?谢谢!

2020-10-13 12:47 1 · 回答

    请问,根据recorretention,记录不是应该至少保存七年吗,除非有法律规定依照法律规定

2018-06-10 17:37 1 · 回答