单选题 Daniel, CFA, is an equity analyst with Prescott Securities. Based on his fundamental analysis, Daniel concludes that the stock of a company he follows, NSCH Inc., is substantially undervalued and will experience a large price increase. He delays revising his recommendation on the stock from "hold" to "buy" to allow his brother to buy shares at a lower price. According to the Standards, Daniel is least likely to have violated:
  • A. duty to clients.
  • B. reasonable basis.
  • C. priority of transactions.
【正确答案】 C
【答案解析】[解析] 本题主要涉及执业操守标准Ⅵ(B)(交易优先权)的相关规定。 在本题中,没有证据显示丹尼尔改变投资建议的决定缺乏合理的依据。但是,由于他推迟了改变投资建议的时间以便使其亲属从中受益,从而剥夺了其客户的交易优先权,这显然违反了执业操守标准Ⅵ(B)的规定。