Q16.The following information involves two research analysts at a brokerage firm.

• Erik Bagenot, CFA, is preparing a research report on Global Enterprises, Inc. In preparing the report, he uses materials from many sources. For example, he uses factual information published by Standard & Poor's Corporation without acknowledging the source. He also uses excerpts from a research report prepared by another analyst. Bagenot makes only a slight change in wording for these excerpts, but acknowledges the source.

• Sally Wain, who is currently enrolled in the CFA program, is preparing a research report on Manson Telecommunications. She attends a conference in which several investment experts provide their views about the future prospects of this company. Wain cites several quotations from these investment experts in her report without specific reference.

According to CFA Institute Standards of Professional Conduct involving prohibition against plagiarism, which of the following statements is TRUE?

A)  Both Bagenot and Wain violated the Standards.

B)  Bagenot violated the Standards, but Wain did not.

C)  Wain violated the Standards, but Bagenot did not.

Q17.Which of the following is NOT a form of plagiarism?

A)  Presenting statistical forecasts by others with the sources identified but without the qualifying statements that may have been used by the originator.

B)  Citing quotations said to be attributable to "leading analysts" or "investment experts" without specific reference.

C)  Using factual information published by a recognized financial statistics reporting service without acknowledgment.

Q18.Wes Smith, CFA, has been working toward the completion of a Master of Science in Finance. He has passed all the necessary courses and written the necessary thesis. He still must defend the thesis in one month. Smith’s thesis advisor assures him that he will pass the thesis defense. Smith has new business cards printed with “M.S. in Finance” after his name. This is a violation of:

A)  Standard VII(B), Reference to CFA Institute, the CFA Designation, and the CFA Program.

B)  Standard I(C), Misrepresentation.

C)  none of the Standards if Smith does not make the cards public until after he defends his thesis and receives his degree.

答案和详解如下：

Q16.The following information involves two research analysts at a brokerage firm.

• Erik Bagenot, CFA, is preparing a research report on Global Enterprises, Inc. In preparing the report, he uses materials from many sources. For example, he uses factual information published by Standard & Poor's Corporation without acknowledging the source. He also uses excerpts from a research report prepared by another analyst. Bagenot makes only a slight change in wording for these excerpts, but acknowledges the source.

• Sally Wain, who is currently enrolled in the CFA program, is preparing a research report on Manson Telecommunications. She attends a conference in which several investment experts provide their views about the future prospects of this company. Wain cites several quotations from these investment experts in her report without specific reference.

According to CFA Institute Standards of Professional Conduct involving prohibition against plagiarism, which of the following statements is TRUE?

A)  Both Bagenot and Wain violated the Standards.

B)  Bagenot violated the Standards, but Wain did not.

C)  Wain violated the Standards, but Bagenot did not.

 Correct answer is C)

Bagenot complied with Standard I(C), which permits publishing factual information from Standard & Poor's without acknowledgment and using excerpts with acknowledgment. Wain committed plagiarism because she failed to give specific references for the quotations that she used.

Q17.Which of the following is NOT a form of plagiarism?

A)  Presenting statistical forecasts by others with the sources identified but without the qualifying statements that may have been used by the originator.

B)  Citing quotations said to be attributable to "leading analysts" or "investment experts" without specific reference.

C)  Using factual information published by a recognized financial statistics reporting service without acknowledgment.

 Correct answer is C)

Members may not generally use material without acknowledging the original source, but an exception is made for factual information published by recognized financial and statistical reporting services.

Q18.Wes Smith, CFA, has been working toward the completion of a Master of Science in Finance. He has passed all the necessary courses and written the necessary thesis. He still must defend the thesis in one month. Smith’s thesis advisor assures him that he will pass the thesis defense. Smith has new business cards printed with “M.S. in Finance” after his name. This is a violation of:

A)  Standard VII(B), Reference to CFA Institute, the CFA Designation, and the CFA Program.

B)  Standard I(C), Misrepresentation.

C)  none of the Standards if Smith does not make the cards public until after he defends his thesis and receives his degree.

 Correct answer is C)

If the cards were distributed today he would be in violation of Standard I(C), Misrepresentation. However, if Smith does not make the cards public until after he receives the degree, there is no violation.

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