标题: Ethic not a CFA member [打印本页] 作者: hardwork24 时间: 2013-4-1 12:35 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: bkballa 时间: 2013-4-1 12:36
Uhh, check the errata? That can’t be right…作者: d2rockstar 时间: 2013-4-1 12:36
No where in the question does it state that she has any part of the CFA, just a regualr analyst.
Looking this thing. It must be some sort of BS assumption作者: Howd 时间: 2013-4-1 12:36
Wait sorry, I misread the question. The CFA supervisor telling a nonCFA 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.作者: ASSet_MANagemen 时间: 2013-4-1 12:36
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: genuinecfa 时间: 2013-4-1 12:36
So the answer was an error and this is the real answer?作者: canadiananalyst 时间: 2013-4-1 12:36
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
A is correct ???? Explain that voodoo作者: Viceroy 时间: 2013-4-1 12:36
etradebobo and I already did.
See either or both of our posts at 1:23pm PDT作者: ayaz_mahmud369 时间: 2013-4-1 12:36
My L2 take
Supervisor violated both misrep and duties of supers.
Employee isn’t covered. We don’t care.
