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标题: Reading 2-V: Standards of Professional Conduct & Guidan [打印本页]

作者: cfaedu 时间: 2008-9-16 11:35 标题: [2008] Session 1－Reading 2-V: Standards of Professional Conduct & Guidance:

CFA Institute Area 1-2: Ethical and Professional Standards
Session 1: Code of Ethics and Professional Standards
Reading 2-V: Standards of Professional Conduct & Guidance: Investment Analysis, Recommendations, and Action
LOS C.: Record Retention.

作者: cfaedu 时间: 2008-9-16 11:36

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.

Answer and Explanation

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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