答案和详解如下： Q15. Will Lambert, CFA, is a financial analyst for Offshore Investments. He is preparing a purchase recommendation on Burch Corporation for internal use. According to the CFA Institute Standards of Professional Conduct, which of the following statements about disclosure of conflicts is not required? Lambert would NOT need to disclose to his employer that: A) his wife owns 2,000 shares of Burch Corporation. B) he is a beneficiary of a pension plan of his former employer that owns a large number of shares of Burch's stock. C) Offshore is an OTC market maker for Burch Corporation's stock. Correct answer is C) Standard VI(A), Disclosure of Conflicts, requires members to disclose to their employer all matters, including beneficial ownership of securities, that reasonably could be expected to interfere with their duty to their employer or ability to make unbiased and objective recommendations. Disclosure of an employer's own involvement with the security is not necessary in this instance. If the report had been for external use, it would have been necessary to make all of the disclosures given as choices. | 
发表于 2009-1-4 14:41
| 
