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gjcxc

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tT
发表于 2011-7-11 19:54 | 只看该作者

Ethics puzzle

include, correct, ability, opinion, request
Moe works in a large group that decides on recommendations by concensus. She does not always agree with the group but is confident in the group's analytical ability. To comply with Standards when the group issues a recommendation with which she disagrees, Moe:
a) does not need to take any action
b) must request that her name be removed from the group's report
c) should include her opinion as an appendix to the group report
[Source: Schweser Mock, vol 2]







The correct answer is a. I think this is not correct since the standards asks you to "document his or her difference of opinion with the team". Even if you allow your name to stay as one of the authors, you should document the disagreement. Hence, it looks to me that (b) is the only valid choice of the given alternatives. Any opinions?
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Micholien

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2#
发表于 2011-7-11 19:54 | 只看该作者
i think you should just document that you have a difference of opinion but dont need to give the details of it? maybe this is why A is correct?

Can anyone else confirm?

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disiz64

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3#
发表于 2011-7-11 19:54 | 只看该作者
I understand documenting the difference as something that you do for yourself, i.e. you write down your opinion and save it. Thus, if someone later claims that you should have noticed this or that, you can show that you actually disagreed.

Whatever the interpretation of documentation, the Standard is clear: you do have to do something. Either you document the difference, ask your name to be removed or otherwise disassociate yourself with the report. Therefore, (a) can never be correct while (b) is one of the correct actions.



Edited 2 time(s). Last edit at Wednesday, December 1, 2010 at 02:38PM by shootingstar.

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dontknow1987

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4#
发表于 2011-7-11 19:54 | 只看该作者
This question pertains to Standard V: Investment Analysis, Recommendations, and Actions. Under subsection A - Diligence and Reasonable Basis [Group Research and Decision Making], it states:

"There may be many instances when the member or candidate does not agree with the independent and objective view of the group. If the member or candidate believes that consensus
opinion has a reasonable and adequate basis, then the member or candidate does not necessarily have to decline to be identified with the report."

So, in the question, Moe does not always agree with the group, but "is confident in the group's analytical abilities," hence he believes that the consensus opinion has a "reasonable and adequate basis" and does not need to take any action.

Patrick
neemonyx.com (or nee.ms)

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scr879

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5#
发表于 2011-7-11 19:54 | 只看该作者
Patrick - the text that you cited continues:

"There should be a presumption that the group members are independent and objective and have a reasonable basis for the opinions. If the member or candidate is confident in the process, the member or candidate does not have to dissociate from the report if it does not reflect his or her opinion. The member or candidate should, however, document his or her
difference of opinion with the team."

I understand that you do not have to have your name removed since you trust the process and the objectivity of the group. But it looks to me that 'taking no action' is incorrect since you do need to document the difference of opinion.

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waldziuchna

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6#
发表于 2011-7-11 19:54 | 只看该作者
I think the word "must" in choice B is what would make me eliminate it. Moe has the option to get her name removed, but it is not mandatory for her to do so.

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