答案和详解如下： 1、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) analyze the client's investment needs. B) distribute a detailed, written research report to clients with each recommendation. C) maintain files to support investment recommendations. D) analyze the investment's basic characteristics before recommending a specific investment to a broad client group. The correct answer was B) 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.
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发表于 2008-5-19 10:40
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