CFA考試中是需要考生掌握道德知識(shí)的，那在備考CFA考試中是不是做題了？今天跟著小編一起看看CFA道德考試題，看看是不理解了？

Kirsten Kelso, CFA, is a research analyst at an independent research firm. Kelso is part of a team of analysts who focus on the automobile industry. Recently, Kelso disagreed with two research sell recommendations written by her team even though she felt confident the research process was properly conducted. In a webcast open to all institutional but not retail clients, Kelso states “even though my name is on the sell reports, these stocks are a buy in part because sales and share prices for both auto companies will rise significantly due to strong demand for their vehicles.” Kelso’s actions would least likely violate ...?

A. Fair Dealing

B. Communication with Clients

C. Diligence and Reasonable Basis


解析：選C。采用排除法。網(wǎng)絡(luò)直播向機(jī)構(gòu)客戶開放、但不向散戶開放的行為違背了公平交易(Fair Dealing)，因?yàn)闆]有公平對(duì)待所有客戶，排除A項(xiàng)。Kelso說(shuō)：“盡管我的名字出現(xiàn)在銷售報(bào)告上，但這兩家公司的股票仍值得買入，部分原因是它們的汽車需求強(qiáng)勁，這兩家公司的銷量和股價(jià)將大幅上漲?！边@段話違背了客戶溝通(Communication with Clients)原則，因?yàn)闆]有將事實(shí)與意見分開，排除B項(xiàng)。對(duì)于C項(xiàng)，沒有語(yǔ)句說(shuō)明Kelso不勤勉合理。

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