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Flying马 · 2024年11月07日

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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.

按何老师讲的   既然出版也有主人公的利益在   是不是应该同时发布   其专门客户可以详细沟通

1 个答案

王暄_品职助教 · 2024年11月07日

抱歉,没听懂您说的“既然出版也有主人公的利益在 ”这是什么意思

Huerta有义务将她的最新投资建议首先提供给她的直接资产管理客户。这是因为这些客户已经将她作为他们的投资顾问,并依赖她的建议来做出投资决策。因此,她应该首先确保这些客户能够及时获得最新的、最准确的信息。