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CFAI Mock ethics question
L1 afternoon mock, question 12 gives three standards and asks which one is least likely violated relating to Standard V: Investment Analysis, Recommendation and Actions.
It’s clear that the person probably has broken his supervisory duties but the question was not about that; it was about which standard was least likely broken related to Standard V.
For me, the only logical reply would be (a) supervisory responsibility because it is not part of Standard V. Of course, one could say that the standard is actually called ‘Responsibilities of Supervisors’ and not ‘supervisory responsibility’ but using that argument, (a) would still be correct since there is no such standard so how could it be violated.
What’s your opinion on this one? |
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发表于 2013-3-30 20:30
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