周周 · 2025年01月23日
* 问题详情，请 查看题干
NO.PZ201604030300004303
问题如下：
3. Does Dean violate CFA Institute Standards in preparing and disseminating her equity reports?
选项：
A.No.
B.Yes, only by misrepresenting her recommendations as independent.
C.Yes, only by accepting payment from the companies on which she produces reports.
解释：
B is correct.
It is not a violation to accept compensation from an issuer in exchange for research but such arrangements must be disclosed prominently and in plain language.
不是返还了flat fee 吗，返还后还要披露吗
NO.PZ201604030300004303 问题如下 3. es violate CFA Institute Stanr in preparing ansseminating her equity reports? A.No. B.Yes, only misrepresenting her recommentions inpennt. C.Yes, only accepting payment from the companies on whishe proces reports. B is correct.It is not a violation to accept compensation from issuer in exchange for researbut suarrangements must scloseprominently anin plain language. 这里违反的点应该是没有披露fee，并不是B的misrepresentation和inpennce吧？B和C是不是都不对？
请问这个人只发送评价为buy的报告，是否没有违反道德？
这个人的违反在于没有披露flfee，B也没有提到这点啊！麻烦下 谢谢🙏
