问题如下:
Carter is a financial analyst in Alpha Investment. He is asked to write a report about the Beta Group, which belongs to one of Alpha's shareholders. What should Carter do based on Standard VI(A) Disclosure of Conflicts?
选项:
A.Carter should reject the request of writing report about Beta as the special relationship between Alpha and Beta.
B.Carter can write facts about the Beta Group, but not allow to state his opinion.
C.Carter can write the report as long as fully disclose the relationship between Alpha Investment and the Beta Group.
解释:
C is correct.
According to Standard VI(A) Disclosure of Conflicts, members must fully disclose to clients and prospects all actual and potential conflicts of interest to protect investors. Therefore, as long as the special relationship between Alpha Investment and the Beta Group is disclosed, Carter can write this report.
对于这类型问题,是不是无论列入restricted list 与否,都必须披露,我原以为列入list就不纳入研究范围,即没必要披露了