比较怀疑答案的正确性 (3个题目) him, business, afternoon, standards, only

Helsinki

if your colleague is neither a CFA or a candidate, and you find him in violation of CFA institute standards, do you have to report him to CFA institute?

I believe you only need to report him to your supervisor. It's none of the business with CFA institute.

However, in Schwser mock exam 1 afternoon session, the first one is such a ridiculous thing.

CFA institute is nothing but a money-making exam provider (definately for-profit), such problems seems to position it as United Nations or CIA or FBI.

有没有搞错?

I'm now very suspicous about the quality of Schweser mock exam, on page 47, problem 2, this is an appreciation for the past performance, how can the answer be (A)? Moreover, Robert is in violation of Knowledge of the Law.

另外, on page 48, problem 4, the answer is D?  警察都开罚单了还没有违反knowledge of law? 搞笑了吧.

wujiaxi

第一道题CFA institute肯定不会管，Ethics里对于发现下属或同级员工违反code后采取措施的顺序是，展开调查，咨询相关法律部门，向上级汇报。CFA institute在此承担的责任是咨询以及监督CFA的行为。如果员工不是CFA则不用向CFA institute汇报。

第二道题违反的可能是professional code里面的misconduct，但不违反knowledge of law，因为这里的law是指金融方面的law，而不是所有的法律。

Helsinki

如果我是高盛或美林的经理, 白天我上班很好, 晚上我去嫖妓, 偷东西, 炸大楼, 都与金融无关, 这些都不是 misconduct?

terrysun

问题能清楚一点吗？什么情况？一般如果违反了法律并且这个违反体现了一个人的bad integrity, dishonesty之类的就违反了code。如果是乱停车什么的我想没有吧。

Hanson

我做过有一道题， 在Exchange floor那里 ，你被人骂了，然后你与人厮杀起来，这算不算violation？

答案是，这属于violation。

答案又暗示 ，如果你说了let us go outside, 你在Exchange Floor外面就算把他杀了，都不算violation.
 

martinmeng

 misconduct

wsusan

完全同意wujiaxi的回答，是正确的

比如，如果一个ｃｆａ因为是动物保护主义者，他去参加了游行示威，被警察抓了，这个即使被抓了，也不算作是违反了code,但是如果他是因为偷窃，欺诈等等道德的问题，就是违反了．

[此贴子已经被作者于2008-8-21 17:30:11编辑过]