标题: Ethic not a CFA member [打印本页] 作者: rosemary2011 时间: 2011-7-11 19:50 标题: Ethic not a CFA member
I just had an ethics question stating that CFA supervisor told an none CFA analyst to plagiarize a document.
the answer was the supervisor was not in violation of misrepresention, but the analyst was. AHHHHH how can the analyst be in violation when she is not a CFA.
Cant win with this??/作者: sdada 时间: 2011-7-11 19:50
Uhh, check the errata? That can't be right...作者: Flok 时间: 2011-7-11 19:50
Supervisors are supposed to make sure their employees act ethicly and abide by the code and standards, right? So by plagiarizing, the anlyst violates misrepresentation. That's not to say the supervisor is not in violation at all, just not that specific standard.
Also, it is a violation to refer use CFA as a noun. Don't you just love this stuff?作者: bapswarrior 时间: 2011-7-11 19:50
Wait sorry, I misread the question. The CFA supervisor telling a non-CFA candidate to plagarize a document does not mean the CFA supervisor is violating misrepresentation. He's violating misconduct / role as a supervisor. However, if the analyst were to comply, he would be violating misrepresentation.
I'm not entirely sure about why you can be in violation of the CFA standards when you're not a CFA charter holder/candidate, but I'll take a stab. Since the supervisor is a CFA charterholder, he must have set in place written compliance procedures in order to assume the supervisory role. Because of this, the analyst is bound by these compliance procedures, so committing plagiarism violates the CFA standards indirectly. Again, my explanation could be totally wrong to this second part, but I'm reasonably sure that the answer is correct.
Edited 1 time(s). Last edit at Friday, June 5, 2009 at 05:24PM by etradebobo.作者: manasib 时间: 2011-7-11 19:50
It says that he would not be in violation of misrepresentation even if she acted on is request. Only the supervisor CFA violation作者: smartpants 时间: 2011-7-11 19:50
The question
James, CFA supervises several financial analysts at his firm. James compensation is tied to the commissions of the brokers in the firm. James tells Sally, an analyst to us report prepared by another firm as the basis of her report. he tells her to make minors changes and then put her name on the report and send it to clients. If Jones complies with James request:
A. she has violated Standard 1c Misrepresentation, but not James
B Both violated Misrepresentation
C. Neither have violated Misrepresentation.
D. James has violated Misrepresentation
