You discovered historical bond yields statistics on the the U.S. Treasury website. You decided to use it to support the work, but forgot to cite the source. Did You violate the Code and Standards? (55) a) Yes, because I did not cite the source of the table b) Yes, because I did not verify the accuracy of the information c) No, because the table is from a recognized source of financial or statistical data 11. Consider you are an investment banker working on an underwriting. Once you find the issuer altered financial statement, hiding some operational losses and including misleading data in a released prospectus, what would you do? Describe (for Yourself) the actions needed according to the CFA Code and Standards (note the standards and principle by which You are guided in this case, among Code of Ethics and Standards I, II, VII) CD (15) Standard II (A) Standard I (A) Standard I(C) Standard I (D) Standard II (B) Standard VII (A) Standard VII (B) 12. Your colleague included in the presentation for the potential clients an interest-only collateralized mortgage obligation as guaranteed the government as a claim against the cash flow of a pool of guaranteed mortgages. However, the payment stream and market value are not guaranteed. Is it a violation of any substandard among the CFA Standards I, II or VII? If so, which one? Cm (15) Standard II (A) Standard I (A) Standard II (B) Standard I (B) Standard I(C) 13. If an analyst of your department presents sensitivity analysis for a security using not only scenarios consistent with recent trends and historical norms, but also some additional information based on which substandards you would evaluated his/her actions? (105) Standard I (A) Standard I (B) Standard I(C) Standard II (A) O O O Standard II (B) Standard VII (A) 14. Green Brothers, an emerging market fund manager, has two of its subsidiaries simultaneously buy and sell emerging market stocks. In its marketing literature, he cites the overall emerging market volume as evidence of the market’s liquidity. As a result of its actions, more investors participate in the emerging markets fund. What substandard among the CFA Standards I, II, and VII was violated? m (10) Standards I (A) Standards II (A) Standards I (B) Standards I(C) Standards I (D) Standards II
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