问题 单项选择题

An independent analyst has only one client. One of the client’s largest holdings is a brokerage firm. Because of the large holding by his client, the brokerage firm recently began allowing the analyst to tap into the firm’s computer network to use the firm’s research facilities. This is allowable as long as the analyst:()

A. discloses the relationship to the client.

B. uses the resources to help manage the client’s account.

C. does all of the actions listed here.

答案

参考答案:C

解析:

According to Standard Ⅲ (A) , Loyalty, Prudence, and Care, the analyst must put the client first and inform the client of any possible conflicts of interest. The analyst must channel any benefits derived from his service to the client, back to the client, and inform the client of the benefits.

选择题
单项选择题 A1/A2型题