水同學
2024-03-27 22:23道德,MA1-Q3 Cadler’s quick-thinking action most likely violated Standard V(A): Diligence and Reasonable Basis because: A outside parties influenced their investment action. ? B of the timing and execution of the small-cap share trades. C of an inappropriate swap of small-cap to large-cap shares.?
老師題目在case中的定位信息在哪?考察什么知識點?怎么解?謝謝
所屬:CFA Level II > 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
2024-03-29 11:10
該回答已被題主采納
同學你好,
通過未經(jīng)批準的經(jīng)紀人出售小盤股表明缺乏盡職調(diào)查,因為經(jīng)紀人沒有通過公司的盡職調(diào)查程序來確定經(jīng)紀人服務(wù)是否合適
