CFA考試中是需要考生掌握道德科目的知識(shí)，CFA道德在考試中的占比很大的，這段時(shí)間有沒(méi)有復(fù)習(xí)CFA道德知識(shí)呢？今天跟著小編一起看看！

Kirsten Kelso, CFA, is a research analyst at an independent research firm. Kelso is part of a team of analysts who focus on the automobile industry. Recently, Kelso disagreed with two research sell recommendations written by her team even though she felt confident the research process was properly conducted. In a webcast open to all institutional but not retail clients, Kelso states “even though my name is on the sell reports, these stocks are a buy in part because sales and share prices for both auto companies will rise significantly due to strong demand for their vehicles.” Kelso’s actions would least likely violate ...?

A. Fair Dealing

B. Communication with Clients

C. Diligence and Reasonable Basis


解析：選C。采用排除法。網(wǎng)絡(luò)直播向機(jī)構(gòu)客戶(hù)開(kāi)放、但不向散戶(hù)開(kāi)放的行為違背了公平交易(Fair Dealing)，因?yàn)闆](méi)有公平對(duì)待所有客戶(hù)，排除A項(xiàng)。Kelso說(shuō)：“盡管我的名字出現(xiàn)在銷(xiāo)售報(bào)告上，但這兩家公司的股票仍值得買(mǎi)入，部分原因是它們的汽車(chē)需求強(qiáng)勁，這兩家公司的銷(xiāo)量和股價(jià)將大幅上漲?！边@段話(huà)違背了客戶(hù)溝通(Communication with Clients)原則，因?yàn)闆](méi)有將事實(shí)與意見(jiàn)分開(kāi)，排除B項(xiàng)。對(duì)于C項(xiàng)，沒(méi)有語(yǔ)句說(shuō)明Kelso不勤勉合理。

CFA知識(shí)學(xué)習(xí)是長(zhǎng)期的事情，但是堅(jiān)持CFA考試是每一位學(xué)員應(yīng)該做到的。通過(guò)CFA考試掌握更多的金融知識(shí)，讓自己變成富有的人。更多CFA備考知識(shí)、資料領(lǐng)取及學(xué)習(xí)答疑的事情，學(xué)員可以在線(xiàn)咨詢(xún)老師或者添加老師微信。