亚同学2019-01-24 17:14:31
Lin Xuan, CFA, is a sell side investment analyst. Lin hears rumors that GR Software may have falsified its financial results while at a software industry conference. When she returns to her office, Lin conducts a thorough analysis of GR. Based on her research, including discussions with some of GR’s customers, Lin is convinced that GR’s reported 50% increase in net income during recent quarters is completely fictitious. Lin is the only analyst suspicious about GR’s reported earnings so far, however. According to the CFA Institute Code of Ethics and Standards of Professional Conduct, the least appropriate action for Lin is to: Areport her suspicions to GR’s management. Bdo nothing, until other analysts support her analysis. Crecommend her clients sell their GR shares immediately. 该题中的C选项 ,analyst和fund manager之间有firewall,那analyst分析出来的结果因为被隔离所以不能告知给客户,这个理解怎么说呢?
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Bingo2019-01-25 16:06:46
同学你好,分析师也是有自己的客户的呀。防火墙有三种:1)工作地点隔离;2)汇报流程隔离;3)薪酬考核分离。这题并不涉及防火墙。
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