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智商要充值 · 2022年10月01日

A?

NO.PZ2016032802000040

问题如下:

Mike, CFA, an analyst in an investment management company. Recently, ZRB Co., an investment banking company, underwrites an IPO of Mike's company. Mike writes a report which states, "Our company gains better profit these years and it will grow at amazing speed." This statement is faked by Mike, and he just wants to increase the value of his company. Regarding Mike's action, which of the following statements is most likely accurate?

选项:

A.

Mike violated Standard IV(A) Loyalty.

B.

Mike violated Standard III(B) Fair Dealing.

C.

Mike violated Standard I(D) Misconduct.

解释:

C is correct.

According to Standard I(D) Misconduct, Mike cannot write a fake report which may lead the investors to invest and overvalue the IPO that ZRB underwrites.

请问A为什么不对?他也错误陈述了

1 个答案

王暄_品职助教 · 2022年10月02日

IV(A) Loyalty是指对雇主的忠诚,这里可以违反I(C)Misrepresentation错误称述;也可以违反I(D)Misconduct错误行为;但并不违反对雇主的忠诚呀