NO.PZ2024022002000037
问题如下:
Henrietta Huerta, CFA, who publishes a widely-read investment newsletter, needs to update her stance on East-West Coffee Roasters from buy to sell. In line with the CFA Institute's ethical guidelines, who should be the initial recipients of this updated investment advice?选项:
A.Only the individuals receiving her newsletter.
B.Her direct asset management clients first.
C.Both her newsletter audience and her clients at once.
解释:
Option B is the appropriate choice. The CFA Standards, particularly Standard III(A)–Loyalty, Prudence, and Care, require Huerta to prioritize her existing asset management clients' interests. Releasing the updated recommendation to these clients before the newsletter readership adheres to the ethical obligation of placing client interests foremost.如果说是出版社拿他的报告去出版,那可以理解他只要向自己客户更新就行了。这里说他出版,那就应该客户和读者都得更新啊。