问题如下:
2. When preparing the initial draft for Brecksen’s review, does Grohl violate any CFA Standards?
选项:
A.No.
B.Yes, because he used Brecksen’s research reports without permission.
C.Yes, because he did not use reasonable judgment in identifying which factors were important to the analysis.
解释:
A is correct.
Grohl exercised diligence, independence, and thoroughness in analyzing the company and its competitors. Brecksen provided his research reports for Grohl’s use and using the reports as a guide was appropriate. Standard V(A) requires that members distinguish between fact and opinion in communicating investment recommendations to clients. The Standard does not apply to investment recommendations communicated to supervisors or internal investment committees.
老师,原文中 If the majority of the committee agrees with the recommendation, the recommendation is approved and the stock is placed on a restricted list while the firm executes the necessary trades.是什么意见?为什么通过的recommendation中推荐的stock要放入restricted list ?