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一只可爱的猪 · 2021年05月02日

这道题不太明白

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NO.PZ201604030100004204

问题如下:

4. When removing the multi-factor analysis from his research report, does Grohl violate any CFA Standards?

选项:

A.

No.

B.

Yes, because he no longer has a reasonable basis for his recommendation.

C.

Yes, because he is required to make full and fair disclosure of all relevant information.

解释:

A is correct.

Removing the multi-factor analysis from the research report does not constitute a violation. Grohl diligently prepared the internal document according to the firm’s traditional format with a complete fundamental analysis and recommendation—indicating diligence and a reasonable basis for his recommendation. It would be wise for Grohl to retain records of the multi-factor analysis but he need not retain the analysis in the research report to comply with Standards V(A) –Diligence and Reasonable Basis or V(C) –Record Retention.  

老师,他是基于这个模型才得出结论的,怎么能删掉这个模型?

1 个答案

王暄_品职助教 · 2021年05月03日

是的。我们应该批露整个分析过程,不能随便删掉其中一部分。这个是违反full disclosure的。

这题和你之前的问的问题刚好相呼应,所以这两题都有点问题,而你理解的没错。

同学也可以听一下何老师的讲解:

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