2月CFA考试在即,在仅剩的几天中你是不是在刷题呢?是不是掌握了CFA课后习题呢?如果你没有掌握的话,跟着小编先看看这道CFA考试题,看看你是不是掌握了其中的知识点?

An analyst has a large personal holding of a security,and he has just determined that market conditions warrant selling this security. The analyst contacts clients who have a position in the security and advises them to sell some or all of the security. After waiting 24 hours, he sells the security from his personal accounts. This is:

A. a violation of Standard VI(B), Priority of Transactions.

B. a violation of Standard III(B), Fair Dealing.

C. congruent with Standard VI(B), Priority of Transactions.

应该选择C,这个是关于Priority of Transaction因为它涉及到客户和分析师自己的利益。而且因为这个分析师已经通知了相关客户并给了他们24个小时的时间,所以他没有违反Priority of Transaction的相关规定。


这就是这道题的包含的知识点,你知道这个词汇相近的词汇吗?跟着小编一起看看吧!

Fair Dealing是在Duties to Clients之下的,而Priority of Transaction是属于Conflicts of Interest。所以说Fair Dealing是针对所有客户的,CFA Candidates在做分析、建议和投资的时候,要客观公正地对待所有客户。

备考CFA考试中不管是几级考试,备考中知识点熟练的掌握是很重要的,同时如何是备考2022年其他月份的考试,这边有CFA资料哦!需要的可以在线咨询我们老师获取相关的资料哦!