问题 单项选择题

According to CFA Institute Standards of Professional Conduct, members should do all of the following to meet the compliance procedures for having a reasonable basis for recommendations, EXCEPT:()

A. distribute a detailed, written research report to clients with each recommendation.

B. analyze the client’s investment needs.

C. maintain files to support investment recommendations.

答案

参考答案:A

解析:

Standard Ⅴ (C) , Record Retention, requires that members maintain appropriate records to support the reasonableness of such recommendations or actions, but they are not required to distribute a research report with each recommendation.

单项选择题
名词解释