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How to understand the meaning of misrepresentation?

帮考网校 2020-05-18 09:28:09
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How to understand the meaning of misrepresentation?

A misrepresentation is any untrue statement or omission of a fact or any statement that is otherwise false or misleading.

Must not knowingly,  omit or misrepresent information or give a false impression of a entity, or security in oral representations,  advertising, electronic communications, or written materials (whether publicly disseminated or not). (各种形式的不正当陈述都不行,书面报告即使没有发布也不行)

“Knowingly” means that either knows or should have known that the misrepresentation was being made or that omitted information could alter the investment decision‐making process.

Guidance ‐ Impact on Investment Practice

不允许保证收益,但若结构性产品本身是刚兑(保本)的,可以保证收益

禁止说大话,满嘴跑火车(Such as, we may provide all services)

雇佣第三方要进行披露,不能将第三方的业绩归于自己

Plagiarism policy:

Maintain copies: Keep copies of all research reports, articles containing research ideas, material with new statistical methodologies, and other materials that were relied on in preparing the research report.

 Attribute quotations: Attribute to their sources any direct quotations, including projections, tables, statistics, model/product ideas, and new methodologies prepared by persons other than recognized financial and statistical reporting services or similar sources.(知名机构的数据不必引用)

Work Completed for Employer

Firm may issue future reports without attribution to prior analysts,  but a member or candidate cannot issue under his name.

May use other people’s work within the same firm without committing a violation. (同一公司的报告不用引用)

When the original analyst leaves the firm, research and models developed while employed are the property of the firm.  The firm retains the right to continue using them.

The firm may issue future reports without providing attribution to the prior analysts.  A member or candidate cannot reissue a previously released report solely under his or her name. 

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