解析一下B和C

问题如下：

In the continued conversation between Mercer and Ong, which sub-standard of Standard I: Professionalism did Ong least likely violate?

选项：

A.Misconduct

B.Misrepresentation

C.Independence and Objectivity

解释：

1. Incorrect, because Ong did most likely violate Standard I(A): Misconduct by maligning the reputation of Daniel Ngyue on the basis of his speculation about Ngyue’s drinking and a rumor he heard. Members and candidates are not to engage in any professional conduct that reflects adversely on their integrity.

2. Correct, because Ong least likely violated Standard I(C): Misrepresentation when stating he had a stellar reputation, since Mercer had previously noted it as one of the reasons why she was talking to him, so it is unlikely he misrepresented himself. Ong, however, did violate Standard I(A): Misconduct by maligning the reputation of Daniel Ngyue on the basis of his speculation about Ngyue’s drinking and a rumor he heard. Members and candidates are not to engage in any professional conduct that reflects adversely on their integrity. He also potentially violated Standard I(B): Independence and Objectivity by stating the influential people he could introduce her to would possibly give her future assignments if they knew they were working together. Ong is trying to influence Mercer’s decision to go with his firm by implying he could possibly increase her potential future income through his contacts rather than appointing the adviser most appropriate for her current assignment.

3. Incorrect, because Ong most likely violated Standard I(B): Independence and Objectivity by stating the influential people he could introduce her to would possibly give her future assignments if they knew they were working together. Ong is trying to influence Mercer’s decision to go with his firm by implying he could possibly increase her potential future income through his contacts rather than appointing the adviser most appropriate for her current assignment. Members and candidates are not to accept or offer any benefit that could reasonably be expected to compromise their own or other’s independence and objectivity. The introduction to influential people could compromise her independence and objectivity when selecting an adviser to work with her.

• demonstrate a thorough knowledge of the CFA Institute Code of Ethics and Standards of Professional Conduct by applying the Code and Standards to specific situations