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?