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梁 · 2022年05月03日

Restricted list和disclose之间的关系

NO.PZ2018062009000003

问题如下:

Carter is a financial analyst in Alpha Investment. He is asked to write a report about the Beta Group, which belongs to one of Alpha's shareholders. What should Carter do based on Standard VI(A) Disclosure of Conflicts?

选项:

A.

Carter should reject the request of writing report about Beta as the special relationship between Alpha and Beta.

B.

Carter can write facts about the Beta Group, but not allow to state his opinion.

C.

Carter can write the report as long as fully disclose the relationship between Alpha Investment and the Beta Group.

解释:

C is correct.

According to Standard VI(A) Disclosure of Conflicts, members must fully disclose to clients and prospects all actual and potential conflicts of interest to protect investors. Therefore, as long as the special relationship between Alpha Investment and the Beta Group is disclosed, Carter can write this report.

根据VI(A)的规定,CFA会员必须对客户及潜在客户完全披露各种利益冲突。因此,只要Alpha Investment与Beat Group之间的利益关系被完全且真实的披露,Carter就可以写此报告。

老师能不能帮我整理一下

一般只要披露了利益关系就OK 可以写自己的观点

在披露的基础上最好放进Restricted list只写事实?这是更保守的方法?

什么时候不止披露还要加进Restricted list呢

Dang.D · 2022年05月03日

1.一般是有内幕消息,只说事实不说观点,加入restriction list里。  所有的Restrict list都要披露,有时候加入到Restrict list里面,就是因为分析师具有内幕信息,所以才把股票加到List里,这时候就不能披露。  存在潜在的利率冲突时,只加入限制性清单是不够的,还需要披露。不披露是违法的。 2,.任何的利益冲突都要披露,不披露也是违反的。

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王暄_品职助教 · 2022年05月03日

@Dang.D同学回答的完全正确

通常只要加入了restricted list就是因为有利益冲突,所以加入了之后,在写研报的时候(虽然只写事实,不写观点),也需要披露一下利益关系。

Sofia nice · 2024年06月08日

所有的Restrict list都要披露,有时候加入到Restrict list里面,就是因为分析师具有内幕信息,所以才把股票加到List里,这时候就不能披露。 这是啥意思,为啥又不能披露了?

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相关问题

Carter cwrite facts about the Beta Group, but not allow to state his opinion. Carter cwrite the report long fully sclose the relationship between Alpha Investment anthe Beta Group. C is correct. Accorng to StanrVI(sclosure of Conflicts, members must fully sclose to clients anprospects all actuanpotenticonflicts of interest to proteinvestors. Therefore, long the specirelationship between Alpha Investment anthe Beta Group is sclose Carter cwrite this report. 根据VI(A)的规定,CFA会员必须对客户及潜在客户完全披露各种利益冲突。因此,只要Alpha Investment与BeGroup之间的利益关系被完全且真实的披露,Carter就可以写此报告。 直接拒绝不是也可以吗

2021-06-22 17:28 2 · 回答

Carter cwrite facts about the Beta Group, but not allow to state his opinion. Carter cwrite the report long fully sclose the relationship between Alpha Investment anthe Beta Group. C is correct. Accorng to StanrVI(sclosure of Conflicts, members must fully sclose to clients anprospects all actuanpotenticonflicts of interest to proteinvestors. Therefore, long the specirelationship between Alpha Investment anthe Beta Group is sclose Carter cwrite this report.利益冲突这几道题也只是显示在利益冲突里面,或者题目点了利益冲突。我才能知道选择要披露,而不是不发表意见。放在整体里面,一大套题,肯定就觉得是独立客观,选择不能表示意见了…………这两点到底区别在哪儿?

2020-10-25 09:59 1 · 回答

对于这类型问题,是不是无论列入restrictelist 与否,都必须披露,我原以为列入list就不纳入研究范围,即没必要披露了

2020-03-29 13:45 1 · 回答

感觉BC都对,不知道B错在了哪里。    

2019-03-14 14:21 1 · 回答