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阿萌酱 · 2020年08月31日

问一道题:NO.PZ2018062009000008

问题如下:

DELI Company hired an investment management firm XY for the additional public offering. XY's brokerage unit now has a "sell" recommendation on DELI. The director of XY's investment banking department, Allen has asked Betty, who is the director of XY's brokerage unit, to change "sell" recommendation to "buy". Betty should:

选项:

A.

change the recommendation to “buy”.

B.

put DELI on a restricted list of XY and just give the factual information about DELI.

C.

reject Allen’s request and still keep the "sell" recommendation.

解释:

B is correct.

According to Standard I(B) Independence and Objectivity, when Betty is asked to change the recommendation, she should place DELI on a restricted list to aviod violating the Code and Standards.

坚持自己的观点不是也保证了独立客观性吗

1 个答案

王暄_品职助教 · 2020年08月31日

嗨,努力学习的PZer你好:


我们是选择一个最合适的行为,对比C来说,我们最合适的就是放进restricted list。

首先这家公司已经成为了我们的客户,对于公司得客户,如果强行坚持sell,也是不利于客户的。对于这种情况CFA推荐的procedures就是放入restricted list里。

当然其实保持自己的观点没错,但是我们是选择一个最为合适行为。


-------------------------------
就算太阳没有迎着我们而来,我们正在朝着它而去,加油!


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