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.老师好 -
请问在一般情况下 - analyst 不需要向公司报备一下 他的 analysis recommendation- e.g. recommend buy option - 然后让公司 核实一下 做这个recommendation是否与公司层面有任何的conflict of interest 如果 all clear 然后 再把这个recommendation递交给客户吗？
还是说金融行业里没有这个due deilligence check 的procedure？
还是说 如果 analyst 把这个消息先给了公司， 怕公司内部先用此消息做交易 而 compromise client 的interest？
谢谢
