Reading 2-I: Standards of Professional Conduct & Guidanc

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Q11.Which of the following is NOT considered plagiarism under CFA Institute Standards?

A) Improving an existing report and using it inside the company under a new title without acknowledging the source of the original report.

B) Using factual information from a recognized financial information agency without acknowledging the source of the information.

C) Adjusting an already published model and announcing it as a new model without acknowledging the source of the original model.

Q12.Paul Thomas, CFA, is designing a new layout for research reports his firm writes and issues on individual stocks. In his design, Thomas includes a stock chart on the first page of each report. He does not reference that the charts are copied from an unrecognizable Finance web site. Thomas has:

A) not violated CFA Institute Standards of Professional Conduct because these charts are widely available over the Internet.

B) violated CFA Institute Standards of Professional Conduct because he did not state the source of the charts.

C) violated CFA Institute Standards of Professional Conduct because he did not make sure that the information in these charts is accurate.

Q13.An analyst preparing a report does NOT need to cite the use of which of the following?

A) A recent quote from Alan Greenspan.

B) Charts developed by a colleague in the same firm.

C) Estimates of betas provided by Standard & Poor's.

Q14. All of the following violate Standard I(C), Misrepresentation, EXCEPT:

A) copying a proprietary computerized spreadsheet without seeking authorization from the creators.

B) citing quotes attributable to "investment experts" without specific references.

C) presenting factual information published by recognized statistical reporting services without acknowledgment.

Q15.According to CFA Institute Standards of Professional Conduct, which of the following statements about the prohibition against plagiarism is most correct? The prohibition against plagiarism applies to written materials:

A) only.

B) and oral communications only.

C) oral communications, and telecommunications.