5. Aida Monti, CFA, is an equity analyst for Kirby Capital Advisers. She owns 6 percent of ART Company, a small publicly held company that she recommended to the firm抯 portfolio managers as a strong buy in a written report. According to the Standards of Practice Handbook, is Aida obligated to disclose this ownership:
| to her employer? | in her written report? | A. | No | No | B | No | Yes | C | Yes | No | D | Yes | Yes |
Select exactly 1 answers from the following:
A. B. C. D. 答案和详解如下！
Feedback: Correct answer: D
Standards of Practice Handbook, 9th edition (CFA Institute, 2005), pp. 113-1172006 Level I Program Readings, 揋uidance?for Standards I-VII, Standards of Practice Handbook, 9th edition (CFA Institute, 2005), pp. 77-80 2006 Modular Level I, Vol. I, pp. 83-86 Study Session 1?朼 demonstrate a thorough knowledge of the Standards of Professional Conduct by recognizing and applying the standards to specific situations
A member is obligated to disclose any potential conflicts of interest to both the employer and in any written reports. | 
发表于 2006-11-21 11:33
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