100001334246
2022-04-28 07:47老師可以解釋下每個選項(xiàng)嗎?謝謝
所屬:CFA Level I > Ethical and Professional Standards 視頻位置 相關(guān)試題
來源: 視頻位置 相關(guān)試題
1個回答
Danyi助教
2022-04-28 15:13
該回答已被題主采納
同學(xué)你好,
A沒有違反,題干沒有不公平交易的描述
B因?yàn)樗f是自己獨(dú)立研究he conducts his own independent research,但實(shí)際是從別人處獲得obtained from his primary broker。所以違反Misrepresentation.
C從別人處獲得obtained from his primary broker,自己并沒有做盡職調(diào)查研究,所以違反Diligence and Reasonable Basis.
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