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

作者: mayanfang1 时间: 2009-1-9 17:00

答案和详解如下：

Q1. 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) analyze the investment's basic characteristics before recommending a specific investment to a broad client group.

Correct answer is B)

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.

作者: mayanfang1 时间: 2009-1-9 17:00 标题: [2009] Session 1 －Reading 2-V: Standards of Professional Conduct & Guidance:

Q1. 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) analyze the investment's basic characteristics before recommending a specific investment to a broad client group.

作者: renx0008 时间: 2009-2-2 12:23

B

作者: cicely 时间: 2009-3-3 16:30

b?

作者: pundit 时间: 2009-4-16 10:57

g

作者: pundit 时间: 2009-4-25 18:27

a

作者: sszzyyll 时间: 2009-5-21 17:56

 d

作者: malesword 时间: 2009-5-29 21:29

jj

作者: ohwow_my 时间: 2009-9-10 16:38

  thanks

作者: dandinghe4748 时间: 2009-10-29 12:59

ok

作者: cxz0858 时间: 2009-11-2 17:00

THANKS

作者: jrxx999 时间: 2009-12-25 14:11

踩踩踩踩踩踩踩踩踩踩踩踩

作者: 1212jo 时间: 2009-12-28 16:25 标题: 好

好

作者: leeyaoxee 时间: 2010-5-5 09:22 标题: 回复：（mayanfang1）[2009] Session 1 －Reading 2-V...

Thanks.

作者: lupinelp 时间: 2010-5-14 17:43

sdfasfg

作者: CFA6077653 时间: 2010-5-19 14:32

2

作者: zinger 时间: 2010-5-24 15:56

 B

作者: zinger 时间: 2010-5-24 15:57

 B

作者: 思霖 时间: 2010-9-25 16:18

Thx!

作者: lenny_chen 时间: 2011-2-14 14:38

x

作者: 祈愿修神 时间: 2011-3-22 17:46

2

作者: maxsimax 时间: 2011-4-29 16:13

tq

作者: rawrdinosaur 时间: 2011-6-1 02:02

ty

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