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

C)   distribute a detailed, written research report to clients with each recommendation.

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

C)   distribute a detailed, written research report to clients with each recommendation.

Correct answer is C)

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.