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Ivy1917 · 2025年05月12日

不是很理解

NO.PZ2025041601000049

问题如下:

Christina Tam, CFA, and Peter Wolf, CFA, are employed at Hamilton Investments. Tam develops an equity research model and uses it to issue a report on Iron Mining Corp. She also begins a report on Copper Core Inc. Shortly thereafter, Tam leaves the firm and Wolf uses Tam's model to issue a report on Zinc Drilling Ltd. without providing attribution to Tam. Wolf also finishes Tam's work on Copper Core and issues a report solely under his own name without providing attribution to Tam. Wolf later reissues Tam's report on Iron Mining, again solely under his own name.Question

Which of Wolf's actions violates the Standards?

选项:

A.A.Using Tam's model without providing attribution to her

B.B.Reissuing Tam's report on Iron Mining solely under his own name

C.C.Finishing Tam's work on Copper Core and issuing a report solely under his own name without providing attribution to Tam

解释:

  • 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

虽然做对了 但人物关系不是很明白 可以具体分析一下么

1 个答案

王暄_品职助教 · 2025年05月12日

使用Tam的模型(A选项):

Wolf可以使用同事Tam开发的模型(属于公司财产),不需要每次注明模型来源,所以不违规。

完成并发布Tam未完成的报告(C选项):

Wolf接手Tam未完成的Copper Core报告,虽然基于Tam的前期工作,但后续分析由Wolf完成,可以视为自己的研究成果,不违规。

直接重新发布Tam已完成的报告(B选项)

Tam的Iron Mining报告是她独立完成的作品,Wolf未经修改直接用自己的名字发布,相当于抄袭,违反道德准则 I(C)Misrepresentation。

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