CFA CFA Level 1 Question of the Week – Ethical and Professional Standards

Question of the Week – Ethical and Professional Standards

  • This topic has 2 replies, 2 voices, and was last updated Apr-18 by AdaptPrep.
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    • AdaptPrep
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      Krystal French, CFA, issues monthly investment reports. These reports aggregate a wide number of analysis reports. Krystal looks for trends and commonalities within the research community. Krystal then presents the findings as her own research and doesn’t cite any sources. Krystal is most likely in violation of which Standard?

      • Misrepresentation
      • Performance Presentation
      • Diligence and Reasonable Basis
    • hairyfairy
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      (buries head in shame) and I’m a research analyst.

    • AdaptPrep
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      The Standard which applies is:

      Misrepresentation:
      Members and Candidates must not knowingly make any misrepresentations relating
      to investment analysis, recommendations, actions, or other professional
      activities.

      By not citing her sources, Krystal has misrepresented the
      research findings she posted.

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