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?