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Avalon · 2024年11月13日

这题C错在哪里哪里有问题

NO.PZ2024022002000142

问题如下:

What is an advised method for ensuring adherence to the Standard of independence and objectivity? Members are recommended to prompt their firms to:

选项:

A.Enforce a blanket ban on employee involvement in equity-related IPOs.

B.Exclude a corporate client from research coverage and place it on a restricted list if the firm refrains from publishing negative views about the client.

C.Equip all clients with detailed guidelines and processes for reporting unethical conduct, regulatory breaches, or actions that could damage the firm’s integrity.

解释:

Option B is correct. In alignment with Standard I (B), Independence and Objectivity, it's advised that members encourage their firms to establish a restricted list for corporate clients when the firm opts not to circulate negative opinions about them. This involves removing these companies from research coverage and limiting the information shared to factual data only.

这题C错在哪里哪里有问题

1 个答案
已采纳答案

王暄_品职助教 · 2024年11月13日

选项B说:“为所有客户提供详细的准则和流程,以报告不道德行为、违规操作或可能损害公司诚信的行为。”

根据I(B)的recommended producer的内容,是需要给员工提供,而不是给客户提供。

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