问题如下:
2. When deciding how to vote the ESOP shares, does Brown violate any CFA Institute Standards?
选项:
A.No.
B.Yes, relating to loyalty, prudence, and care.
C.Yes, relating to diligence and reasonable basis.
解释:
A is correct.
Brown conducts an independent and careful analysis of the plans’ benefits for shareholders as well as the takeover offer. In doing so she puts the client’s interests ahead of the firm’s. Brown’s actions are consistent with Standard III(A)–Loyalty, Prudence, and Care; Standard V (A) –Diligence and Reasonable Basis; and Standard III(B) –Fair Dealing.
看了一边计划书就同意建议给他投票是不是太草率了。。。这个好像不太审慎