Damon2024-05-22 06:24:30

Smith is a financial analyst with XYZ Brokerage Firm. She is preparing a purchase recommendation on JNI Corporation. Which of the following situations is most likely to represent a conflict of interest for Smith that would have to be disclosed?A. Smith frequently purchases items produced by JNI.B. XYZ holds for its own account a substantial common stock position in JNI.C. Smith’s brother-in-law is a supplier to JNI这里答案是B，但是我想问这个financial analyst 是为公司负责还是他的客户呢？因为如果说他是为了公司写报告，那么它就需要披露他和JNI的关系，但如果是为客户服务，那么自己公司的holding就需要disclose