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FrankSun · 2020年03月13日

问一道题：NO.PZ2016032802000040

  1. CFA II
  2. Ethics

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 growth 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.

这个更像mispresentation吧

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1 个答案

发亮_品职助教 · 2020年03月14日

嗨，爱思考的PZer你好：


“这个更像mispresentation吧”

也违反Misrepresentation，不过选项里只能选Miscondcut，因为他为了Increase value of his company，就写了Fake report；

这肯定是违反职业道德的事情。根据Misconduct，有Dishonest的事情，就算违反Misconduct。

参考Misconduct的说法：

Members and Candidates must not engage in any professional conduct involving dishonesty, fraud, or deceit or commit any act that reflects adversely on their professional reputation, integrity, or competence.

当然，他的做法肯定也违反了Misrepresentations，因为他有错误陈述，参考Misrepresentation的说法：

Members and Candidates must not knowingly make any misrepresentations relating to investment analysis, recommendations, actions, or other professional activities.


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就算太阳没有迎着我们而来，我们正在朝着它而去，加油！


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