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Massa羊羊羊兒🐏🐏🐏 · 2020年11月29日

问一道题:NO.PZ2018062009000008 [ CFA II ]

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.

B感觉也不够呀。120道题里有一道题,也是有冲突,因此放入限制清单不说观点只说fact,但因为没有披露,因此没有做到disclose of conflict。 此题B选项,只是放入了restrict list,没有披露conflict,站在客户的角度,仍然做的不够,为什么能选?
1 个答案

Debrah_品职答疑助手 · 2020年11月30日

嗨,努力学习的PZer你好:


同学你好,请把你说的题目贴一下吧,或者具体是哪个题。

就这个题目而言,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。


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