NO.PZ2024022002000150
问题如下:
For adherence to the Standard regarding independence and objectivity, which combinations of procedures are recommended?
选项:
A.Limiting investment personnel's participation in private placements and banning employees from accepting travel reimbursements from corporate issuers.
B.Imposing restrictions on private placement investments and removing companies from the restricted list if adverse opinions are not allowed.
C.Prohibiting travel reimbursements from issuers and removing companies from the restricted list for non-dissemination of negative views.
解释:
Option A is correct. Under Standard I(B), Independence and Objectivity, it's crucial to exercise care in preserving professional autonomy and impartiality. This includes implementing guidelines for investment staff on private placements and preventing employees from accepting travel expenses from corporate issuers, both aimed at avoiding conflicts of interest.一级题目会出到这个难度吗