问题 单项选择题

A broker was sanctioned for unsuitable recommendations and excessive trading involving three accounts under his care. These clients were unsophisticated, inexperienced individual investors with limited means. According to CFA Institute Standard Ⅲ (C) , Suitability, which of the following is least likely to be considered a relevant factor in determining the appropriateness and suitability of investment recommendations or actions for each portfolio or client ()

A. Best interests of the investment professional. 

B. Basic characteristics of the total portfolio. 

C. Basic characteristics of the investment involved.

答案

参考答案:A

解析:

Determining appropriateness and suitability focuses on the portfolio or client, not on the investment professional. Investment professionals should take particular care to ensure that their goals in selling products or executing security transactions do not conflict with the best interests of the client.

单项选择题 共用题干题
单项选择题 A1型题