NO.PZ2024022002000181
问题如下:
Jayson Kite, CFA, a seasoned analyst, is finalizing an investment analysis report on a maritime transport company. Having determined that the company's stock is a worthwhile investment, he plans to issue a 'buy' recommendation. In line with the compliance procedures, how should Kite distribute this recommendation?选项:
A.Initially to the firm, followed by the clients. B.First to the clients, then to the firm. C.Concurrently to both the firm and its clients.解释:
Option C is correct. According to Standard III (B), Fair Dealing, in the ethical practices of investment analysis, it is crucial to disseminate investment advice simultaneously to all relevant parties. This approach ensures equitable treatment of all recipients, including both the firm's internal stakeholders and its clients. Hence, the simultaneous communication of the 'buy' recommendation to both the firm and its clients is the recommended procedure for compliance and fair dealing.这题出的不严谨,这里的firm指的是他的clients里面包含firm吗?大部分人都会理解成他工作的firm吧