开发者:上海品职教育科技有限公司 隐私政策详情

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kevinzhu · 2020年09月06日

问一道题:NO.PZ2016032801000039 [ CFA I ]

问题如下:

Paper was recently terminated as one of a team of five managers of an equity fund. The fund had two value-focused managers and terminated one of them to reduce costs. In a letter sent to prospective employers, Paper presents, with written permission of the firm, the performance history of the fund to demonstrate his past success.

选项:

A.

Paper did not violate the Code and Standards.

B.

Paper violated the Code and Standards by claiming the performance of the entire fund as his own.

C.

Paper violated the Code and Standards by including the historical results of his prior employer.

解释:

B is correct.

Paper has violated Standard III(D) –Performance Presentation by not disclosing that he was part of a team of managers that achieved the results shown. If he had also included the return of the portion he directly managed, he would not have violated the standard. Thus, answer A is incorrect. Answer C is incorrect because Paper received written permission from his prior employer to include the results.

再问一次,with written permission of the firm,不是说公司认同了他把所有工作当做自己个人的工作了吗?所有结论都是属于公司的,公司同意了,应该就没事的吧?

1 个答案

王暄_品职助教 · 2020年09月08日

嗨,从没放弃的小努力你好:


题目中明确说明这个fund有两个manager,而他却说是他自己的past success。如果他提及了还有一个manager,那就没有问题。所以无论有没有written permission of the firm, 他都违反了CFA准则。


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努力的时光都是限量版,加油!