Question: Identify behavior that conforms to the Standards and behavior that violates the Standards. Standard 1(C )_ Professionalism: Misrepresentation. 问题：确认遵守和违反准则的行为。 准则 1C_专业性：错误的陈述。
Answer: Scenario: John Brown, CFA, and five of his colleagues recently left a large investment management firm with all their studies out of trainees five years ago in large capital and equity research department. 回答：假设：约翰布朗，一位金融投资分析师，和他的五位同事，最近离开了一家大型的投资管理公司。他们五年前进入这家公司，并且在大型资金和证券研究部门接受培训。
They have formed their own investment management firm and began to talk with prospective clients. In their discussions, they find that the prospects become concerned when they learnt the principles in the firm has only been the business five years and haven’t had experience in bonds. 他们创立了一家自己的管理公司并开始和潜在的客户交谈。在他们和客户的讨论中，他们发现客户非常关注这些事项：他们在原来的公司五年所学的商业领域的原理，以及他们在债券上缺乏经验。
John decides that in the future they should all referred the firm that having over 25 years experience in the business and being able to provide for all of their investment needs. 约翰决定，在未来，他们应该只提及公司拥有超过25年商业领域的经验，并且能够根据客户的投资需要，来提供所有的服务。
Analysis: John has violated the Standard 1( C ) which prohibits members from making any statement or their all return which misrepresent. The services that they all their firms are capable of performing. Their qualificaion, all of qualifications of their firm the members academic or professional credentials.. 分析：约翰已经违背了准则1C，禁止成员关于任何声明和回报作出错误的陈述：他们的公司能够提供所有的服务，他们的公司和成员具有所有学术和专业认证的资格。
John has misrepresented his firm’s qualifications in the certain of their capable providing for all of their clients investment needs. While in face, they only have experience in one asset class and is as more firm cannot possibly provide all of the services their clients who need. 约翰，在他们能为所有客户投资需求提供的服务上，关于公司资格做了错误的陈述。事实上，他们仅有关于资产领域的经验。同时要说明的是，许多公司并不可能为他们的客户提供所有需要的服务。
In addition, 6 people with 5 years experience do not equal over 25 continue with years experiences in the market as these statement mightily prospected investors to believe. 另外，拥有5年经验的6个人并不等于在市场上有超过25年连续的经验，而且这些（有可能错误的）陈述可能会使投资者相信，并且影响到他们。
发表于 2007-3-19 15:31
| 
