开发者:上海品职教育科技有限公司 隐私政策详情

应用版本:4.2.11(IOS)｜3.2.5(安卓)APP下载

返回

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

添加评论
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.


-------------------------------
就算太阳没有迎着我们而来，我们正在朝着它而去，加油！


  • 1

    回答

  • 4

    关注

  • 787

    浏览
相关问题

NO.PZ2016032802000040 问题如下 Mike, CFanalyst in investment management company. Recently, ZRB Co., investment banking company, unrwrites IPO of Mike's company. Mike writes a report whistates, \"Our company gains better profit these years anit will grow amazing spee\" This statement is fakeMike, anhe just wants to increase the value of his company. Regarng Mike's action, whiof the following statements is most likely accurate? A.Mike violateStanrIV(Loyalty. B.Mike violateStanrIII(Fair aling. C.Mike violateStanrI( Misconct. C is correct.Accorng to StanrI( Misconct, Mike cannot write a fake report whimlethe investors to invest anovervalue the IPO thZRB unrwrites. 我理解题目的意思是他这里想要通过写假报告提高自己公司的value，算不算操控股价呢？谢谢老师！

2024-08-25 21:53 1 · 回答

NO.PZ2016032802000040问题如下 Mike, CFanalyst in investment management company. Recently, ZRB Co., investment banking company, unrwrites IPO of Mike's company. Mike writes a report whistates, \"Our company gains better profit these years anit will grow amazing spee\" This statement is fakeMike, anhe just wants to increase the value of his company. Regarng Mike's action, whiof the following statements is most likely accurate? A.Mike violateStanrIV(Loyalty.B.Mike violateStanrIII(Fair aling.C.Mike violateStanrI( Misconct.C is correct.Accorng to StanrI( Misconct, Mike cannot write a fake report whimlethe investors to invest anovervalue the IPO thZRB unrwrites.请问A为什么不对？他也错误陈述了

2022-10-01 17:48 1 · 回答