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An analyst who routinely purges the files that support his research and recommendations:

A)
is acting in accordance to Standard III(E), Preservation of Confidentiality.
B)
may be violating Standard V(C), Record Retention.
C)
is acting in accordance to Standard IV(A), Loyalty to Employer.


According to Standard V(C), a member shall “maintain appropriate records” to support recommendations. Neither of the other choices would apply to this action.

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上一主题:Reading 3: CFA Institute Soft Dollar Standards - LOS b - Q
下一主题:Reading 10: Prudence in Perspective-LOS b 习题精选