[CFA level 1模拟真题]Version 2 Questions－Q4 companies, contract, research, next, class

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Q4. Ian O'Sullivan, CFA, is the owner and sale employee of two companies, a public relations firm and a financial research firm. The public relations firm entered into a contract with Mallory Enterprises to provide public relations services. According to the contract, O'Sullivan received 40,000 shares of Mallory stock in payment for his services. Over the next 10 days, the public relations firm issued several press releases that discussed Mallory's excellent growth prospects. O'Sullivan, through his financial research firm, also published a research report recommending Mallory stock as a buy? According to the Standards of Practice Handbook, was O'Sullivan required to disclose his ownership of Mallory stock in the:

Press release?                    Research report?

A．     NO                             No

B．     NO                             YES

C．     YES                             NO

D．     YES                             YES

答案和详解如下：

Q4. D    07Modular LI, Vol. 1, PP 2126,88-91   . Study session 1-2.a

Members should disclose all mattes that reasonably could be expected to impair the member's objectivity.

yuyi1981

D

vivian1022

d

jungle1009

see

deanwj

d

xu7431

b

fantasy_ln

see

yangyangda

d

technet

d

ondesert

d