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Kathy苏苏 · 2020年05月21日

问一道题:NO.PZ2016032802000015 [ CFA II ]

问题如下:

Smith Recie, works in the research department of Hensen investment company. This week he has lots of work to do and has no time to write a research report. So, he just copies some assumptions of the third-party research and finishes his report as soon as possible. Which of the following standards does Smith violate?

选项:

A.

He complies with the Code and Standards.

B.

He violates the standard on Diligence and Reasonable Basis.

C.

He violates the standard on Suitability.

解释:

B is correct.

According to Standard V(A) Diligence and Reasonable Basis, when Smith copies some assumptions of the third-party research, he must review them and evaluate the objectivity of them. Smith violates this standard.

老师,该行为是剽窃吧?是不是还违反了MISREPRESENTATION?
1 个答案

王暄_品职助教 · 2020年05月21日

嗨,努力学习的PZer你好:


  1. 是的,也有剽窃的行为,违反了misrepresentation
  2. 同时也违反了diligence and reasonable basis。因为时间匆忙,没有尽职尽责的确认过别人的research是否客观合理,直接抄了别人的research,这是不尽职尽责的表现
  3. 因为选项中没有misrepresentation, 所以选B

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