问题 单项选择题

Will Lambert, CFA, is a financial analyst for Offshore Investments. He is preparing a purchase recommendation on Butch Corporation for internal use. According to the CFA Institute Standards of Professional Conduct, which of the following statements about disclosure of conflicts is not required Lambert would not need to disclose to his employer:()

A. offshore is an OTC market maker for Butch Corporation’s stock.

B. his wife owns 2000 shares of Butch Corporation.

C. he is a beneficiary of a pension plan of his former employer that owns a large number of shares of Butch’s stock.

答案

参考答案:A

解析:

Standard Ⅵ (A) , Disclosure of Conflicts, requires members to disclose to their employer all matters, including beneficial ownership of securities, that reasonably could be expected to interfere with their duty to their employer or ability to make unbiased and objective recommendations. Disclosure of an employer’s own involvement with the security is not necessary in this instance. If the report had been for external use, it would have been necessary to make all of the disclosures given as choices.

单项选择题
单项选择题