单选题
Kenneth, CFA, has just started work as a trainee with Jerron Asset
Management Co., a small regional money management firm started six months ago.
He has been told to make a few cold calls and round up some new clients. In
which of the following statement has Kenneth least likely violated the Code and
Standards?
- A. "We can perform all the financial and investment services you need. We've
consistently outperformed the market indexes and will continue to do so under
our current management."
- B. "We can assist you with all the financial and investment services you
need. If we don't provide the service in-house, we have arrangements with other
full-service firms that I would be happy to tell you about."
- C. "Our firm has a long history of successful performance for our clients.
While we can't guarantee future results, we do believe that we will continue to
benefit our clients."
【正确答案】
B
【答案解析】[解析] 本题主要涉及执业操守标准Ⅰ(C)(不当表述)的相关规定。
执业操守标准Ⅰ(C)禁止会员向其客户做出某项投资可以获得特定收益的保证。由于选项A中包含“我们的投资业绩一直超过市场指数水平并将在现有管理水平下继续保持上述业绩”的表述,因而显然违反了上述规定。同时,执业操守标准Ⅰ(C)还规定,会员在其口头陈述、产品推广、电话/电子邮件交流和书面形式的交流中不得故意做出任何虚假的信息传达。考虑到杰伦资产管理公司是一家开业不久的小型地区性资金管理公司,该公司很可能不具备向客户提供其需要的所有金融服务和投资服务的能力,因而选项A也违反了该项规定。
由题干可知,杰伦资产管理公司的开业时间仅有6个月,从而选项C中“我们在为客户提供成功的投资业绩方面具有悠久的历史”的表述不符合实际情况。因此,选项C不正确。