楼主: wingedseeds
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[CFA考试] 问一道道德题 [推广有奖]

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楼主
wingedseeds 发表于 2013-11-11 08:47:21 |AI写论文

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k人 参与回答

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来自 2012 mock exam afternoon:

Kirsten Kelso, CFA, is a researchanalyst at an independent research firm. Kelso is part of a team ofanalysts who focus on the automobile industry.Recently, Kelso disagreed with two research sell recommendations writtenby her team even though she felt confident the research process was properlyconducted. In a webcast open to all institutional but not retailclients, Kelso states “even though my name is on the sell reports,these stocks are a buy in part because sales and share prices for both autocompanies will rise significantly due to strong demand for theirvehicles.” Kelso’s actions would least likely violate which of thefollowing CFA Institute Standards of Professional Conduct?

A. FairDealing

B. Communication with Clients

C. Diligence and Reasonable Basis


我的问题是,为什么不选B?不太清楚这里的communicating with clients指的是什么?而且Kelso在提出他自己的观点的时候也没有再做详尽的研究呀,难道不算违反了C么?

谢谢大家的解答。





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关键词:Professional significant Independent Institution reasonable automobile afternoon research because process

沙发
zwlxtu 发表于 2013-11-11 09:15:32
看不明白

藤椅
definite630 发表于 2013-11-11 11:59:58
反正肯定不选b。只通知机构客户,没有通知零售客户

板凳
alexyzhuo 发表于 2013-11-11 18:01:50
注意是least likely
取法乎上,得乎其中;取法乎中,得乎其下。穷,则独善其身;达,则兼济天下。

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