CFA道德考試知識(shí)點(diǎn)需要考生從備考初就可以復(fù)習(xí)了！CFA道德考試題不是金融知識(shí)，但是在備考中這個(gè)科目的知識(shí)占比是很大的，今天我們看看CFA道德考試題！

Elbie Botha, CFA, an equity research analyst at an investment bank, disagrees with her research team’s buy recommendation for a particular company's rights issue.

She acknowledges the team’s recommendation is based on a well-developed process and extensive research, but she feels the valuation is overpriced based on her assumptions.

Despite her contrarian view, her name is included on the research report to be distributed to all of the investment bank's clients. To avoid violating any CFA Institute Standards of Professional Conduct, it would be least appropriate for Botha to undertake which of the following?

A.Insist her name be removed from the report

B.Leave her name on the report

C.Issue a new report

Correct Answer: C

Standard IV（A）： Loyalty calls for employees to be loyal to their employer by not causing harm. If Botha released a contradictory research recommendation report to clients, it could possibly cause confusion amongst clients and embarrassment to the firm.


解析：

B 同學(xué)在投行是股權(quán)分析師，她不同意研究團(tuán)隊(duì)的recommendation，但是她知道團(tuán)隊(duì)的研究是審慎的，但是她個(gè)人覺得這個(gè)公司的價(jià)值被高估了，盡管她不同意這個(gè)觀點(diǎn)，但是她的名字出現(xiàn)在了這份研究報(bào)告上，然后問你下面哪種做法是錯(cuò)誤的。

其實(shí)只要整個(gè)研究團(tuán)隊(duì)是Diligence and reasonable basis的，即使你不同意*后的結(jié)果，你也是可以把你的名字放在report上面的，這是不違反的。

但是你也可以怎么做呢，A說的是堅(jiān)持移除自己的名字，這個(gè)是對(duì)的，你可以放也可以不放，所以A和B是正確的。

但是C是錯(cuò)的，這相當(dāng)于是拆自己公司的臺(tái)，會(huì)損害雇主的利益，這是錯(cuò)誤的做法，所以選C。

易錯(cuò)點(diǎn)分析：

大家做錯(cuò)這個(gè)題，很多同學(xué)是選了B，這是對(duì)這個(gè)點(diǎn)沒有掌握好，所以相關(guān)結(jié)論要記牢，這個(gè)題是典型的案例，大家可以記一下

如果考生不知道如何學(xué)習(xí)，這邊有CFA考試題庫可以輔助考生學(xué)習(xí)的，如果需要可以在線咨詢或者添加老師微信。