问题如下图:
选项:
A. 麻烦老师解释一下这三个选项说的啥
B.
C.
解释:
NO.PZ2016040301000008 Plathe company on a restrictelist angive only factuinformation about the company. Assign a new analyst to ci if the stoserves a higher rating. B is correct. This question relates to StanrI(B)–InpennanObjectivity. When asketo change a recommention on a company stoto gain business for the firm, the heof the brokerage unit must refuse in orr to maintain his inpennanobjectivity in making recommentions. He must not yielto pressure the firm’s investment banking partment. To avoithe appearanof a confliof interest, the firm shoulscontinue issuing recommentions about the company. Answer A is incorrect; changing the recommention in any manner this contrary to the analyst’s opinion violates the ty to maintain inpennanobjectivity. Answer C is incorrebecause merely assigning a new analyst to ci whether the stoserves a higher rating will not aress the confliof interest. 多问一句,放在限制性清单的同时,也要披露投行部门在做该客户业务这个利益关系吧?
这道题这种情况下broker是不是还需要披露给客户?如果不披露是不是还违反了sclosure of conflicts?