NO.PZ201604030300004303
问题如下:
3. Does Dean violate CFA Institute Standards in preparing and disseminating her equity reports?
选项:
A.No.
B.Yes, only by misrepresenting her recommendations as independent.
C.Yes, only by accepting payment from the companies on which she produces reports.
解释:
B is correct.
It is not a violation to accept compensation from an issuer in exchange for research but such arrangements must be disclosed prominently and in plain language.
这里违反的点应该是没有披露fee,并不是B选项的misrepresentation和independence吧?选项B和C是不是都不对?