NO.PZ2016032801000015
问题如下：
Brown works for an investment counseling firm. Green, a new client of the firm, is meeting with Brown for the first time. Green used another counseling firm for financial advice for years, but she has switched her account to Brown’s firm. After spending a few minutes getting acquainted, Brown explains to Green that she has discovered a highly undervalued stock that offers large potential gains. She recommends that Green purchase the stock. Brown has committed a violation of the Standards. What should she have done differently?
选项：
A.Brown should have determined Green’s needs, objectives, and tolerance for risk before making a recommendation of any type of security.
B.Brown should have thoroughly explained the characteristics of the company to Green, including the characteristics of the industry in which the company operates.
C.Brown should have explained her qualifications, including her education, training, and experience and the meaning of the CFA designation.
解释：
A is correct.
In this question, Brown is providing investment recommendations before making inquiries about the client’s financial situation, investment experience, or investment objectives. Brown is thus violating Standard III(C) –Suitability. Answers B and C provide examples of information members and candidates should discuss with their clients at the outset of the relationship, but these answers do not constitute a complete list of those factors. Answer A is the best answer.
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