NO.PZ2024022002000183
问题如下:
In line with the compliance procedures for the Standard on diligence and a sound analytical foundation, what practice should members advocate for within their firms?
选项:
A.Tailor the evaluation criteria specifically for each external advisor to assess their adequacy.
B.Implement a policy to conduct extensive scenario testing on every computer-based model used for financial instrument analysis.
C.Designate a supervisory analyst to validate the soundness and sufficiency of research reports before they are shared outside the firm.
解释:
Option C is correct. The guidelines of Standard V(A), Diligence and Reasonable Basis, advise that firms should have a system in place to ensure that all research reports, credit ratings, and investment recommendations are underpinned by a robust and thorough analysis. This includes appointing either an individual (like a supervisory analyst) or a committee to review and sanction these materials before they are disseminated externally, confirming that they meet the established standards of reasonable and adequate basis.如题,请问为什么AB不对呢?