2026年 CFA 一级道德与专业准则实践含解析.docxVIP

2026年CFA一级道德与专业准则实践含解析

考试时间：______分钟总分：______分姓名：______

试卷内容：

1.Ananalystisresearchingacompanyforapotentialinvestmentrecommendationtoaclient.ThecompanysCEO,whoisaclosefriendoftheanalyst,recentlypurchasedasignificantblockofthecompanysstock.TheanalystisnotawareoftheCEOspurchaseatthetimeoftheresearch.Later,aftertherecommendationismadeandthestockpriceincreases,theanalystlearnsabouttheCEOspriorpurchase.Whichofthefollowingactions,iftakenbytheanalyst,wouldmostlikelybeconsideredaviolationoftheCFAInstitu