6. The records created by Blank supporting theresearch model he developed at GPIM are the records of GPIM. He can’t take therecord without the permission of GPIM. Blank must re-create the recordssupporting his model at the new firm.
提問：這個(gè)case 還包含得其它違反得standard 是reasonable basis 和loyalty；問題：為什么違反了reasonable basis？
        Solution：這段文字想表達(dá)的意思是如果要是從GPIM帶走了model，那么就違反了loyalty to employer。但是如果要是沒有帶走model，之后自己重新根據(jù)記憶構(gòu)造了一個(gè)model，如果沒有supporting materials，那么就違反了reasonable basis。


        7. 如果analyst 在發(fā)布分析報(bào)告之前進(jìn)行交易，一共違反3 條standard（priority of transaction, material nonpublic information 和responsibility of supervisor. 問題：為什么違反了responsibility of supervisor？？
        Solution：這條responsibility of supervisor指的是這個(gè)analyst違反priority of transaction, material nonpublic information的時(shí)候，他的supervisor也同時(shí)違反了responsibility of supervisor.


        8. Marry Houston works for a brokerage firm in country A and is responsible for the underwriting of securities. A company official gives Houston some information indicating that the financial statements Houston filed with the regulator illegally overstate the issuer’s earnings. How does Houston should act under following different statement?

        Statement 1: The law in country A states that the broker should keep secret even the client breach the law. Should she report to the government?
        Statement 2: If there is no such law regulation. Should she report to the regulator?
 

 Statement 1  Statement 2
Ayesno
Bnoyes
Cnono


        Correct answer = C 

        there is no requirement under the standards to report violations to governmental authorities if the law states to keep secret unconditionally. 

         如果當(dāng)?shù)胤梢?guī)定保密，哪怕顧客有違法行為都要保密。如果沒有規(guī)定，那么standard中說明是否想當(dāng)?shù)胤蓹C(jī)關(guān)report視自己而定，沒有明確要求。所以這題選擇D。都不要求report。
　　
　　掃一掃微信，*9時(shí)間獲取2014年CFA考試報(bào)名時(shí)間和考試時(shí)間提醒
　　
　　
　　高頓網(wǎng)校特別提醒：已經(jīng)報(bào)名2014年CFA考試的考生可按照復(fù)習(xí)計(jì)劃有效進(jìn)行！另外，高頓網(wǎng)校2014年CFA考試輔導(dǎo)高清網(wǎng)絡(luò)課程已經(jīng)開通，通過針對(duì)性地講解、訓(xùn)練、答疑、?？?，對(duì)學(xué)習(xí)過程進(jìn)行全程跟蹤、分析、指導(dǎo)，可以幫助考生全面提升備考效果。

　　報(bào)考指南：2014年CFA考試備考指南
　　免費(fèi)題庫：2014年CFA免費(fèi)題庫
　　考前沖刺：CFA備考秘籍
　　高清網(wǎng)課：CFA考試網(wǎng)絡(luò)課程