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daiqiedison · 2019年05月24日

问一道题:NO.PZ201604030300004506 第6小题 [ CFA III ]

* 问题详情,请 查看题干

问题如下图:

选项:

A.

B.

C.

请问这题在哪里说了他故意说错原因啊?没明白。 解释:

1 个答案

发亮_品职助教 · 2019年05月24日

在最后一段,客户发现他们把业绩计算错了,然后Westlake就查了一遍发现确实是算错了,但是这个错误是人为错误他却在给客户的回信中把错误归咎于电脑系统错误:

she blames the discrepancy—which was the result of a human typographical error—on a computer programming error.


所以肯定是违反Misconduct了,因为是不诚信的行为。

同时也肯定违反Misrepresentation了,Misrepresentation的规定如下:must not knowingly make any misrepresentations relating to investment analysis, recommendations, actions, or other professional activities.

故意把错误归咎于电脑系统,就是Knowing make misrepresentations on other professional activities.

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