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Oli小神仙😊 · 2025年04月09日

C为什么不对

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NO.PZ202403070100000204

问题如下:

Which of the actions that Prem undertakes to show his value to Gupta is most likely consistent with the CFA Institute Standards?

选项:

A.Action 1 B.Action 2 C.Action 3

解释:

Solution
  1. Correct. A list of the reports Prem has created is not considered research, so he has not violated Standard IV–Duties to Employers or Standard V(C)–Record Retention. Also, he created the list after working hours and used his personal laptop, so he has not used company resources to create this list.

  2. Incorrect because Standard V(C)–Record Retention requires members and candidates to develop and maintain appropriate records to support investment recommendations. Any documents in support of recommendations belong to the firm, not the analyst. Therefore, Prem’s research reports still belong to Ashoka Brokers, not Prem, even though he created the reports. He is therefore in violation of Standard V(C) as he did not receive permission from his employer to copy the reports.

  3. Incorrect because Prem violates Duties to Employers (Standard IV) by writing down excerpts from research meeting notes that belong to the employer without getting permission from his employer.

Guidance for Standards I–VII
  • 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

在A和C之间犹豫,A如果理解为仅列举做过什么工作,不也是透露了之前工作的信息,违反duty to employer这条吗?

C我理解是参加之前研究会议的记录,也没有说什么什么会议,一般的research meeting的notes也不涉及工资机密呀

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