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