3)presenting statisctical estimates of forecasts prepared by others and identifying the sources but without including the qualifying statements or caveats that may have been used 原版書上這句話說的是引用了別人的研究成果以后，即使署名了原作者，但是？？？？？？還是算違規(guī) 沒看懂后半段
6:我認(rèn)為這個(gè)商業(yè)銀行他是有自己的賣方研究部門的，如果銀行自己寫研究報(bào)告，是會(huì)對(duì)獨(dú)立客觀性產(chǎn)生影響的，并且這個(gè)Smith也沒有披露給客戶自己公司有research division啊
beneficiary提的要求，難道不應(yīng)該遵從嗎，雖然與fund mandate不一致，他只希望投資5年，而總的時(shí)間直到30歲，那么這不是一個(gè)小偏離嗎？？？
第三題問的是哪國(guó)的law最寬松，還是問哪國(guó)的CFA準(zhǔn)則最寬松？為什么B選項(xiàng)比A選項(xiàng)寬松呢？我的理解：A：該國(guó)法律不要求license但要對(duì)客戶有fiduciary duty；B：該國(guó)法律要求license但不要求做到fiduciary duty。我認(rèn)為要求license要比不要求更嚴(yán)格。
請(qǐng)問這段話里最后一句，既然把有問題的公司從研究對(duì)象池里移除了，那么怎么又在后面加了一句，移除了以后，分析師的公司就能發(fā)表關(guān)于該公司的信息了？難道說的意思是，從列表里移除以后，還是能夠繼續(xù)發(fā)表相關(guān)信息嗎
37題，該同學(xué)是在一周之后賣出自己的股票，為什么還是違反了fair dealing？
放限制性清單是什么意思
17題：即使是公司資產(chǎn)，他也應(yīng)該把同事名字也寫上去吧
那個(gè)規(guī)定5年的是什么？
可以再解釋一下第11題中為什么newly?estabilished?discretionary?account是違規(guī)的？謝謝
請(qǐng)問第4題的6句話是什么？謝謝
Colleen O’Neil, CFA, manages a private investment fund with a balanced global investment mandate. Her clients insist that her personal investment portfolio replicate the investments within their portfolio to ensure them that she is willing to put her money at risk. By undertaking which of the following simultaneous investment actions for her own portfolio would O’Neil most likely be in violation of Standard VI(B)–Priority of Transactions?ASale of a listed US blue chip value stock.BParticipation in a popular frontier market IPO.CPurchase of a UK government bond in the primary market. C為啥不對(duì)
Merchant Capital Partners, a regional investment bank, acts as a market maker for Vital Link Health Services and other small firms listed on an over-the-counter exchange. For those shares for whom Merchant acts as market maker, it trades for its own book as well as engaging in risk arbitrage trading. Merchant allows staff members to trade in shares once clients and the company have traded. Merchant recently obtained material nonpublic information regarding Vital’s planned reverse takeover of a publicly listed competitor. In order to be in compliance with the CFA Institute Code and Standards, which type of trading in Vital shares should Merchant least likely suspend? A Personal B Risk arbitrage C Passive proprietary 這個(gè)題不會(huì)
請(qǐng)問可以解釋一下這題嗎？
請(qǐng)問能否解釋一下A和B兩個(gè)錯(cuò)誤選項(xiàng)為什么錯(cuò)？
程寶問答
金程問答