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Kathy苏苏 · 2020年05月25日

问一道题:NO.PZ201604030100004202

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问题如下:

2. When preparing the initial draft for Brecksen’s review, does Grohl violate any CFA Standards?

选项:

A.

No.

B.

Yes, because he used Brecksen’s research reports without permission.

C.

Yes, because he did not use reasonable judgment in identifying which factors were important to the analysis.

解释:

A is correct.

Grohl exercised diligence, independence, and thoroughness in analyzing the company and its competitors. Brecksen provided his research reports for Grohl’s use and using the reports as a guide was appropriate. Standard V(A) requires that members distinguish between fact and opinion in communicating investment recommendations to clients. The Standard does not apply to investment recommendations communicated to supervisors or internal investment committees.  

老师,原文中 If the majority of the committee agrees with the recommendation, the recommendation is approved and the stock is placed on a restricted list while the firm executes the necessary trades.是什么意见?为什么通过的recommendation中推荐的stock要放入restricted list ?

1 个答案

王暄_品职助教 · 2020年05月25日

嗨,爱思考的PZer你好:


这里的意思是,内部通过的投资建议,在还没有公布之前,放入restricted list以防止利利益冲突。


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