FrankSun · 2020年11月03日
Q. Gregor Pavlov, CFA, is a fund manager working for the general partner of a new private equity fund. Pavlov includes in the fund marketing material his performance history from his previous employer. He received permission from his former employer to take his historical recommendations and the supporting research reports he used to make those recommendations. Did Pavlov most likely violate the CFA Institute Standards?
Debrah_品职答疑助手 · 2020年11月03日
嗨，努力学习的PZer你好：
请提供题目来源，谢谢！
-------------------------------加油吧，让我们一起遇见更好的自己！
FrankSun · 2020年11月09日
C is correct because even though Pavlov had his former employer’s permission to take his performance record and supporting research reports with him,
FrankSun · 2020年11月09日
he does not have the underlying performance data to support those historical recommendations and is therefore most likely in violation of Standard V(C)–Record Retention.
FrankSun · 2020年11月09日
Pavlov had the permission of his employer to take his historical performance record and research reports with him when he left the firm so he is not in violation of Standard IV(A)–Loyalty.
FrankSun · 2020年11月09日
这些都是CFA官网的习题。
