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灰飞翔的猫 · 2025年02月02日

C

NO.PZ2023021602000058

问题如下:

Elbie Botha, CFA, an equity research analyst at an investment bank, disagrees with her research team’s buy recommendation for a particular company's rights issue. She acknowledges the team’s recommendation is based on a well-developed process and extensive research, but she feels the valuation is overpriced based on her assumptions. Despite her contrarian view, her name is included on the research report to be distributed to all of the investment bank's clients. To avoid violating any CFA Institute Standards of Professional Conduct, it would be least appropriate for Botha to undertake which of the following?

选项:

A.Insist her name be removed from the report

B.Leave her name on the report

C.Issue a new report

解释:

Standard IV(A): Loyalty calls for employees to be loyal to their employer by not causing harm. If Botha released a contradictory research recommendation report to clients, it could possibly cause confusion amongst clients and embarrassment to the firm.

如果雇主同意可以有多个分析师对同一家公司有不同的意见,C还违反么?

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NO.PZ2023021602000058问题如下 Elbie BothCFequity researanalyst investment bank, sagrees with her researteam’s buy recommention for a particulcompany's rights issue. She acknowlees the team’s recommention is baseon a well-velopeprocess anextensive research, but she feels the valuation is overpricebaseon her assumptions. spite her contrariview, her name is incluon the researreport to stributeto all of the investment bank's clients. To avoiviolating any CFA Institute Stanr of ProfessionConct, it woulleast appropriate for Botha to unrtake whiof the following?A.Insist her name removefrom the reportB.Leave her name on the reportC.Issue a new reportStanrIV(A): Loyalty calls for employees to loyto their employer not causing harm. If Botha releasea contractory researrecommention report to clients, it coulpossibly cause confusion amongst clients anembarrassment to the firm.我记得何老师讲过,不同意观点的报告,不是该坚持去掉名字吗?

2024-05-10 08:13 1 · 回答

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