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扑扑扑 · 2020年10月14日

问一道题:NO.PZ2018062009000008

问题如下:

DELI Company hired an investment management firm XY for the additional public offering. XY's brokerage unit now has a "sell" recommendation on DELI. The director of XY's investment banking department, Allen has asked Betty, who is the director of XY's brokerage unit, to change "sell" recommendation to "buy". Betty should:

选项:

A.

change the recommendation to “buy”.

B.

put DELI on a restricted list of XY and just give the factual information about DELI.

C.

reject Allen’s request and still keep the "sell" recommendation.

解释:

B is correct.

According to Standard I(B) Independence and Objectivity, when Betty is asked to change the recommendation, she should place DELI on a restricted list to aviod violating the Code and Standards.

为什么是放入清单而不是坚持己见呢?

1 个答案

Debrah_品职答疑助手 · 2020年10月15日

嗨,从没放弃的小努力你好:


同学你好,如果有冲突,最佳的方式是放入限制清单,因为坚持己见可能会影响公司的business。这个case何老师上课提到过,可以听一下。


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努力的时光都是限量版,加油!


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NO.PZ2018062009000008问题如下 LI Company hireinvestment management firm XY for the aitionpublic offering. XY's brokerage unit now ha \"sell\" recommention on LI. The rector of XY's investment banking partment, Allen haskeBetty, who is the rector of XY's brokerage unit, to change \"sell\" recommention to \"buy\". Betty shoulA.change the recommention to “buy”.B.put LI on a restrictelist of XY anjust give the factuinformation about LI.C.rejeAllen’s request anstill keep the \"sell\" recommention. B is correct.Accorng to StanrI(InpennanObjectivity, when Betty is asketo change the recommention, she shoulplaLI on a restrictelist to avioviolating the Co anStanr.根据准则I(B),当Betty被要求改变关于LI的投资建议时,她应当将LI这家公司放入限制名单内以避免违反CFA准则。 什么情况下需要放进restriction list

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