问题如下:
3. When recommending Komm, does Riser violate any CFA Institute Standards?
选项:
A.No.
B.Yes, relating to duties to employer.
C.Yes, relating to disclosure of conflicts.
解释:
C is correct.
All actual and potential conflicts of interest must be disclosed. Although Riser’s recommendation may be based solely on his knowledge of the firm’s track record, his prior relationship with Komm, including the job offer, should be disclosed so the subsidiary will have all the information needed to evaluate the objectivity of his recommendation.
为何选C呢,他既没有接受job offer,后期又是基于充分研究分析之后选择的,为什么不是符合规范呢。