這段時間有沒有復習CFA道德知識？

發布時間：2022-06-14 10:16編輯：融躍教育CFA

CFA考試中是需要考生掌握道德科目的知識，CFA道德在考試中的占比很大的，這段時間有沒有復習CFA道德知識呢？今天跟著小編一起看看！

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

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解析：選C。采用排除法。網絡直播向機構客戶開放、但不向散戶開放的行為違背了公平交易(Fair Dealing)，因為沒有公平對待所有客戶，排除A項。Kelso說：“盡管我的名字出現在銷售報告上，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勁，這兩家公司的銷量和股價將大幅上漲。”這段話違背了客戶溝通(Communication with Clients)原則，因為沒有將事實與意見分開，排除B項。對于C項，沒有語句說明Kelso不勤勉合理。

CFA知識學習是長期的事情，但是堅持CFA考試是每一位學員應該做到的。通過CFA考試掌握更多的金融知識，讓自己變成富有的人。更多CFA備考知識、資料領取及學習答疑的事情，學員可以在線咨詢老師或者添加老師微信rongyuejiaoyu。