标题: CFAI Sample Test 2 Question 5 [打印本页] 作者: Windjammer 时间: 2013-4-5 22:50 标题: CFAI Sample Test 2 Question 5
Ethics…
answer was B) both policies had to be changed, but I assert that C was the write answer: that the first policy was incorrect but the second was consistent with the Standards
here is what it was:
“2. In their relationship with corporate issuers, analysts are prohibited from either directly or indirectly promising favorable reports, or specific price targets or threatening negative reports. ” [CFAI sample test 2, Q5]
The explanation to the correct answer is as follows: The Standards also state that research analysts are prohibited from directly or indirectly promising
a subject company or other issuer a favorable report or specific price target, or from threatening to change reports,
recommendations, or price targets.
So, why is the answer B, not C. What was is inconsistent with 2). ?????作者: kd26gioi 时间: 2013-4-5 22:50
it says threatining negative reports… this is word for word with cfa guidelines which say you cant threaten to change your report
its ticky tack.. they could get these points all day from you if they wanted to作者: canadiananalyst 时间: 2013-4-5 22:51
ok, so what if I threaten to KEEP an an already negative report which should in good conscience be changed to neutral/positive??作者: jim8z3 时间: 2013-4-5 22:51
I still sent it to them for confirmation…
Still i got 80 and 83 on sample tests 1 and 2. The PM section was way too easy!作者: wilslm 时间: 2013-4-5 22:51
thanks for sending.. i think you can argue all of these ethics questions really.. in my mind i have never been wrong on one of them作者: sameeragarwal 时间: 2013-4-5 22:51
Thats the thing…i have a ethics down pat and i’m pretty confident on most questions, including this one! There’s a reason I didn’t become a f***ing lawyer or a compliance person. Jeez Louise!作者: Mechanic 时间: 2013-4-5 22:51
feel the same way.. know all the rules, but will get 50-70 on the day
