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FrankSun · 2020年11月02日

老师,这道题没有明白解析,胃还是那么要选c?谢谢老师!

Q. Priscilla Moab, CFA, is the director of marketing at Red Lantern Investments. Red’s investment approach uses technical and fundamental analysis as well as portfolio construction to minimize risk. Moab plans to market an online investment newsletter to retail clients. Moab decides to let prospective clients have access to Red’s buy and sell recommendation list by posting this information on a social media site. The posting also provides information on Red’s basic investment process and logic. To avoid violating the CFA Institute Code of Ethics and Standards of Professional Conduct, Moab should most likely:

  1. describe the investment approach in detail.
  2. update investment process changes annually.
  3. indicate that additional information and analysis are available.

Solution

  1. C is correct because if recommendations are contained in capsule form (such as a recommended stock list), members and candidates should notify clients that additional information and analysis are available from the producer of the report as required by Standard V(B)–Communication with Clients and Prospective Clients. In this case, a clear statement on the website that more information is available upon request would be required.


1 个答案

王暄_品职助教 · 2020年11月03日

嗨,努力学习的PZer你好:


文中提到:have access to Red's buy and sell recommendation list by posting this information on a social media site.说明只是一个recommendation list,并没有具体化内容,根据V(B)–Communication with Clients,manager需要提供详细的信息。下图黄框部分为基础班内容:


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努力的时光都是限量版,加油!


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