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Chilli · 2025年06月03日

这道题考的是哪一个准则?

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NO.PZ202301190200000102

问题如下:

To avoid violating any of the Standards of Professional Conduct, Omar should least likely undertake further analysis of which issues uncovered during the IPO due diligence process?

选项:

A.Plant emissions

B.Employee lawsuit

C.Letter from credit rating agency

解释:

demonstrate a thorough knowledge of the CFA Institute Code of Ethics and Standards of Professional Conduct by interpreting the Code and Standards in various situations involving issues of professional integrity

请老师指出是哪个准则,这个问题是什么意思,以及为什么选b而不选ac

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NO.PZ202301190200000102问题如下AshrOmar, CFrecently joinethe Sahara Manufacturing Company (Saharits chief financiofficer (CFO). The company is planning initipublic offering (IPO). The procee of the IPO will useto finanthe purchase of plant anmachinery. Omwrecruiteon the basis of his extensive investment banking backgroun having successfully supervise10 IPOs over the last five years Falcon Investment Bank.Sahara family-ownecompany, ha very gooreputation until recently when ongoing tspute became publiThe spute mlethe tauthority to impounplant assets. Furthermore, outteplant equipment is causing proction sruption anclining profit margins. The CEO is looking to retire because he is not able to manage the current challenges.Omcreates a taileplto help manage the IPO process. He plans on using extensive checklist annumerous templates thhe velopewhile Falcon. Omcis to employ the same externserviprovirs he useFalcon to hane the legal, accounting, anmarketing aspects requirefor a successful IPO. He consirs these externprovirs the best in the instry, antheir fees are competitive. He will also work with his previous contacts the regulatory authority ring the approvprocess.part of the e ligenprocess, Omscovers a letter from a well-known cret rating agenincating imminent wngra of Sahara to below investment gra. But Omrecalls tha private placement cument being useto pitthe issue to investors shows a penng investment-gra rating. He notes ththe outstanng is being paiaccorng to schele. Omalso fin among the firm’s cuments court filings relating to the successful fense of a wrongful smisssuit a former employee firefor theft. In aition, Omlearns Sahara hbeen penalizepreviously for harmful plant emissions anwarneabout any reoccurrence.In the “Investment Risk” section of the aft prospectus, Ominclus Exhibit 1. Exhibit 1: Investment Risks Knowing tha thirparty researfirm ca value to the IPO marketing process giving inpennt opinion, Omhires MiriHalawi, CFShe is a former colleague who starteher own researfirm two years ago. Halawi allows Omto use her researreport in all Sahara marketing materiwith proper acknowleement. After extensive research, Halawi makes a long-term buy recommention of SaharBut she qualifies the recommention with a high-risk rating, knowing the IPO targets retail investors along with institutioninvestors. Ominvites Halawi to travel across the region with him to promote the IPO. Halawi agrees but only if she is paia flfee.Omworks with the marketing specialists to create aertisement targeting retail investors to publishein newspapers across the nation. Institutioninvestors will inviteto investor briefing to kioff the offer perio The fincopy rea, in part, follows: Invest in the Sahara Manufacturing Company to assureof a gooreturn. The company offers the potentifor long-term growth with reasonable levels of risk. MiriHalawi, CFa thirparty researanalyst, affirms thSahara Manufacturing Company is a “long-term buy”!One week prior to the IPO, Sahara’s boarof rectors approves animplements employee share option pl(ESOP). Existing staff members are allocate10% of the upcoming IPO a 25% scount to the IPO price. Omacquires his allocation with the intention of selling his shares a profit after trang commences. The tails of the ESOP are highlightein the IPO prospectus.To avoiviolating any of the Stanr of ProfessionConct, Omshoulleast likely unrtake further analysis of whiissues uncoverering the IPO e ligenprocess?A.Plant emissionsB.Employee lawsuitC.Letter from cret rating agencymonstrate a thorough knowlee of the CFA Institute Co of EthianStanr of ProfessionConinterpreting the Co anStanr in various situations involving issues of professionintegrity为什么这道题选B不选A

2025-02-15 16:46 1 · 回答