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blade8932 · 2023年01月17日

老师,A选项选用新模型是否也违反了?

NO.PZ2018062009000039

问题如下:

Lisa developed a new model and Back Test which could test past 10-years share market return and forecast next 5-years return. She found that if she used the new model, she could get an abnormal return. Then she added the opinion on promotional materials that, "our fund has an above-average return in the past 10-year", which attracted more clients. Which of the following statements is most likely correct?

选项:

A.

Lisa violated the Code and Standard by using the new model.

B.

Lisa violated the Code and Standard III(D) Performance presentation.

C.

Lisa did not violate the Code and Standard.

解释:

B is correct.

Lisa didn't disclose that she used model, opinion is not fact, so she violated Standard III(D) Performance Presentation.

Lisa没有披露她使用了模型,想法并不等于事实,所以她违反了准则III(D)。

RT

1 个答案

王暄_品职助教 · 2023年01月18日

Lisa使用新模型这件事情本身是没有违反准则要求的,但她要在披露材料里说明,这是用模型得出的结果,并告诉客户这并不是事实,所以她是因为披露材料的问题违反了III(D),而并不是使用新模型本身。

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