Justin Steel, a research analyst, is preparing a report on Moon Enterprises. Recalling that he had given a 'buy' recommendation while he was employed at another firm, Steel rewrites the report with a 'buy' recommendation. However, he does not use any model or information used at his previous firm when writing the report.With regards to the CFA Institute Standards of Professional Conduct, Steel is most likely in:
选项:
A: compliance.
B: violation, because he did not recreate supporting records at the new firm.
C: violation, because he used the memory of his previous work to write the recommendation.
发布时间:2024-06-20 23:27:54