CFA道德考試知識點需要考生從備考初就可以復習了!CFA道德考試題不是金融知識,但是在備考中這個科目的知識占比是很大的,今天我們看看CFA道德考試題!

Elbie Botha, CFA, an equity research analyst at an investment bank, disagrees with her research team’s buy recommendation for a particular company's rights issue.

She acknowledges the team’s recommendation is based on a well-developed process and extensive research, but she feels the valuation is overpriced based on her assumptions.

Despite her contrarian view, her name is included on the research report to be distributed to all of the investment bank's clients. To avoid violating any CFA Institute Standards of Professional Conduct, it would be least appropriate for Botha to undertake which of the following?

A.Insist her name be removed from the report

B.Leave her name on the report

C.Issue a new report

Correct Answer: C

Standard IV(A): Loyalty calls for employees to be loyal to their employer by not causing harm. If Botha released a contradictory research recommendation report to clients, it could possibly cause confusion amongst clients and embarrassment to the firm.


解析:

B 同學在投行是股權分析師,她不同意研究團隊的recommendation,但是她知道團隊的研究是審慎的,但是她個人覺得這個公司的價值被高估了,盡管她不同意這個觀點,但是她的名字出現(xiàn)在了這份研究報告上,然后問你下面哪種做法是錯誤的。

其實只要整個研究團隊是Diligence and reasonable basis的,即使你不同意*后的結果,你也是可以把你的名字放在report上面的,這是不違反的。

但是你也可以怎么做呢,A說的是堅持移除自己的名字,這個是對的,你可以放也可以不放,所以A和B是正確的。

但是C是錯的,這相當于是拆自己公司的臺,會損害雇主的利益,這是錯誤的做法,所以選C。

易錯點分析:

大家做錯這個題,很多同學是選了B,這是對這個點沒有掌握好,所以相關結論要記牢,這個題是典型的案例,大家可以記一下

如果考生不知道如何學習,這邊有CFA考試題庫可以輔助考生學習的,如果需要可以在線咨詢或者添加老師微信。