下列关于投资分析师的做法，正确的有______。
A．投资分析师应当向客户披露证券如何选择及组合，如何建立等投资过程的基本格式和原理
B．必要时投资分析师可作出关于投资回报方面的保证或担保
C．投资分析师在进行投资推荐时应向客户提示证券的基础特征和附带的风险
D．如果投资分析师意欲通过阐述自己或者自己公司在投资方面所做出的成绩．向客户或者潜在客户推销业务时，必须尽一切努力保证这些成绩信息的正确性、公平性
参考答案：A,C,D
解析： 投资分析师不应当作出有关服务项目、个人资格、执业证明、投资成绩等方面的不正确的表述；禁止作出关于投资回报方面的任何保证或担保；如果投资分析师意欲通过阐述自己或者自己公司在投资方面所作出的成绩，向客户或者潜在客户推销业务时，必须尽一切努力保证这些成绩信息的正确性、公平性。
| 在l-5题中，Ronald, Versa, Rosalind, Clarence和 Tracy正各计划买一本书。阅读下面六本书的介绍 (选项A、B、C、D、E、F)，选出符合各自要求的最佳选项。选项中有一项是多余选项。 | ||||||
| ____1. Ronald is an African-American student who is very hard-working at all his subjects especially in American history. He is eager to know the whole history of the USA and wishes to get an ideal book to realize his dream. ____2. Versa used to be ill in hospital for quite some time and therefore has great difficulty with his studies. He can't even understand what his teachers say in class. Therefore, he is in great need of a valuable book to give him a hand. ____3. It's only two months before Rosalind's mother's birthday comes. Deeply loving her mother, Rosalind is to give her a great surprise by cooking a rich and delicious birthday dinner for her. As she is now poor in cooking, she needs a book for her purpose. ____4. Clarence aims at entering a leading university. To his great pity, high grades seem still a long way from him even though he has devoted most of his energy and time to his lessons. How he wishes to get a book for good tips on studying and time management! ____5. Tracy is good at music and drawing and is thought to be gifted in art. She herself also has decided to work herself towards this direction. Only natural talent and ideas are not enough. She still needs some other help besides that from teachers. She wants to buy a book which meets her need. | ||||||
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