7．According to the Standards of Practice Handbook, gifts to members from which of the following sources are least likely to create a loss of independence and objectivity?
Select exactly 1 answers from the following:
A. clients. B. brokers. C. corporate issuers. D. underwriters of new securities.
答案和详解如下！
Feedback: Correct answer: A Standards of Practice Handbook, 9th edition, (CFA Institute, 2005), pp. 15 2006 Level I Program Readings, 揋uidance?for Standards I-VII, Standards of Practice Handbook, 9th edition, (CFA Institute, 2005), pp. 13-14 2006 Modular Level I, Vol. I, pp. 19-20 Study Session 1?朼 demonstrate a thorough knowledge of the Standards of Professional Conduct by recognizing and applying the standards to specific situations
The potential for clients to obtain influence to the detriment of other clients, although present, is not as great as in situations where no compensation arrangement exists. Therefore, members may accept gifts from clients but must disclose to their employers such benefits. | 
发表于 2006-11-22 10:32
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