Q5. According to CFA Institute Standards of Professional Conduct, which of the following is NOT a form of plagiarism?

A)   Using factual information published by recognized financial and statistical reporting services or similar sources without an acknowledgment.

B)   Citing specific quotations supposedly attributable to "leading analysts" and "investment experts" without specific reference.

C)   Presenting statistical estimates of forecasts prepared by others with the source identified, but without qualifying statements or caveats that may have been used.

Q6. 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)   none of the Standards if Smith does not make the cards public until after he defends his thesis and receives his degree.

C)   Standard I(C), Misrepresentation.

Q7. All of the following violate Standard I(C), Misrepresentation, EXCEPT:

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

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

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

答案和详解如下：

Q5. According to CFA Institute Standards of Professional Conduct, which of the following is NOT a form of plagiarism?

A)   Using factual information published by recognized financial and statistical reporting services or similar sources without an acknowledgment.

B)   Citing specific quotations supposedly attributable to "leading analysts" and "investment experts" without specific reference.

C)   Presenting statistical estimates of forecasts prepared by others with the source identified, but without qualifying statements or caveats that may have been used.

Correct answer is A)

Standard I(C) provides that "factual information published by recognized financial and statistical reporting services or similar sources" may be used without an acknowledgment.

Q6. 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)   none of the Standards if Smith does not make the cards public until after he defends his thesis and receives his degree.

C)   Standard I(C), Misrepresentation.

Correct answer is B)

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.

Q7. All of the following violate Standard I(C), Misrepresentation, EXCEPT:

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

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

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

Correct answer is B)

Standard I(C), Misrepresentation, permits using recognized sources of factual information such as Standard & Poor’s Corporation and Moody’s Investors Service without acknowledgment.