NO.PZ201604030100004204
问题如下:
4. When removing the multi-factor analysis from his research report, does Grohl violate any CFA Standards?
选项:
A.No.
B.Yes, because he no longer has a reasonable basis for his recommendation.
C.Yes, because he is required to make full and fair disclosure of all relevant information.
解释:
A is correct.
Removing the multi-factor analysis from the research report does not constitute a violation. Grohl diligently prepared the internal document according to the firm’s traditional format with a complete fundamental analysis and recommendation—indicating diligence and a reasonable basis for his recommendation. It would be wise for Grohl to retain records of the multi-factor analysis but he need not retain the analysis in the research report to comply with Standards V(A) –Diligence and Reasonable Basis or V(C) –Record Retention.
看了其他的回答,我看的云里雾里。。
这个题干和题目想说的是不是:
这人用了定量模型得出结论,但是他老板用的是基本面模型得出的结论,所以即使是不熟悉定量模型他让下属删了,他也没有违反diligence and reasonable basis
record retention 是说出了final 版本的报告才需要保存记录,草稿就不用存,所以没有违反
这个下属也没有违反,因为他也做了diligence and reasonable 调查- 用定量模型,得出来结论,老板也同意结果了,虽然两个人的方法不一样但是结果一样,所以也没有什么违反的
我上面这些理解对吗??