开发者:上海品职教育科技有限公司 隐私政策详情

应用版本:4.2.11(IOS)|3.2.5(安卓)APP下载

Lilly · 2023年08月20日

如下

NO.PZ2023021602000058

问题如下:

Elbie Botha, CFA, an equity research analyst at an investment bank, disagrees with her research team’s buy recommendation for a particular company's rights issue. She acknowledges the team’s recommendation is based on a well-developed process and extensive research, but she feels the valuation is overpriced based on her assumptions. Despite her contrarian view, her name is included on the research report to be distributed to all of the investment bank's clients. To avoid violating any CFA Institute Standards of Professional Conduct, it would be least appropriate for Botha to undertake which of the following?

选项:

A.Insist her name be removed from the report B.Leave her name on the report C.Issue a new report

解释:

Standard IV(A): Loyalty calls for employees to be loyal to their employer by not causing harm. If Botha released a contradictory research recommendation report to clients, it could possibly cause confusion amongst clients and embarrassment to the firm.

B 是对的原因是因为题目说了她也认为那份报告是有合理依据的么?即使和她自己的分析相左

1 个答案
已采纳答案

王暄_品职助教 · 2023年08月20日

是的,即便和自己的建议不同,只要过程严谨、慎慎我们就可以同意的