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标题: [求助] CFA L1 Ethics 问题请请教 [打印本页]

作者: Jalapeno4u 时间: 2008-6-4 07:36
标题: [求助] CFA L1 Ethics 问题请请教

Schweser June 08 Exam 2 Afternoon

5. Jim James, CFA, supervises several financial analysts at his firm. James' compensation is tied to the commissions of the brokers in the firm. James tells Sally Jones, an analyst, to use a report prepared by a rival firm as the basis for her report. He tells her that she will need to make minor changes and that she can then put her name on the report before sending it to clients. The report contains a "Buy" recommendation on a stock in which James' supervisor owns a large stake. If Jones complies with James' request:

A. she has violated Standard I(C) Misrepresentation, but James has not.

B. both she and James have violated Standard I(C) Misrepresentation.

C. neither she nor James have violated Standard I(C) Misrepresentation.

D. James has violated Standard I(C) Misrepresentation, but Jones has not.

The answer is A.

Why has James not?

作者: Emily915 时间: 2008-6-4 09:56
James violated the responsibility of supervisor, but not misrepresentation

作者: Jalapeno4u 时间: 2008-6-6 10:05
Thanks, Emily.

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