備考CFA考試道德是基礎(chǔ)知識(shí)，在學(xué)習(xí)CFA一級(jí)考試中道德考試題是需要背和理解的，那在備考CFA考試中你這道題是不是做對(duì)了嗎？

Evan Schulman, CFA, and Nancy Bishop, CFA, began a joint research report on Star Corporation. Prior to the completion of the report, Bishop was reassigned to another project. Bishop spent several days visiting Star 's corporate headquarters and meeting with all company officers. Schulman utilized his and Bishop's research to write the report. According to the CFA Institute Standards of Practice Handbook, did Schulman violate any CFA Institute Standards of Professional Conduct?

A.Yes, with respect to misrepresentation.

B. No.

C. Yes, with respect to independence and objectivity.

Correct answer = B

Members are in compliance with CFA Institute's Standards if they rely on the research of another party who exercised diligence and thoroughness.


提問：A為什么不對(duì)？EVAN沒有抄襲NANCY的文件嗎？？ 沒有，請(qǐng)關(guān)注本題的第1句話Evan Schulman, CFA, and Nancy Bishop, CFA, began a joint research report on Star Corporation，中的 joint research ，他可以使用自己和他人的研究報(bào)告作為研究的基礎(chǔ)。如果引用別人的報(bào)告，他只要說明這是來自他人的就可以了，更何況這是Joint research；另外，他到實(shí)地去研究Star，并未提到他使用了Material Nonpublic Information。 如果題目中提到，他沒有說明這是Joint research，他違反了misreprentation。