这段时间有没有复习CFA道德知识？

发布时间：2022-06-14 10:16编辑：融跃教育CFA

CFA考试中是需要考生掌握道德科目的知识，CFA道德在考试中的占比很大的，这段时间有没有复习CFA道德知识呢？今天跟着小编一起看看！

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：选C。采用排除法。网络直播向机构客户开放、但不向散户开放的行为违背了公平交易(Fair Dealing)，因为没有公平对待所有客户，排除A项。Kelso说：“尽管我的名字出现在销售报告上，但这两家公司的股票仍值得买入，部分原因是它们的汽车需求强劲，这两家公司的销量和股价将大幅上涨。”这段话违背了客户沟通(Communication with Clients)原则，因为没有将事实与意见分开，排除B项。对于C项，没有语句说明Kelso不勤勉合理。

CFA知识学习是长期的事情，但是坚持CFA考试是每一位学员应该做到的。通过CFA考试掌握更多的金融知识，让自己变成富有的人。更多CFA备考知识、资料领取及学习答疑的事情，学员可以在线咨询老师或者添加老师微信rongyuejiaoyu。