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.
提问：这个case 还包含得其它违反得standard 是reasonable basis 和loyalty；问题：为什么违反了reasonable basis？
        Solution：这段文字想表达的意思是如果要是从GPIM带走了model，那么就违反了loyalty to employer。但是如果要是没有带走model，之后自己重新根据记忆构造了一个model，如果没有supporting materials，那么就违反了reasonable basis。


        7. 如果analyst 在发布分析报告之前进行交易，一共违反3 条standard（priority of transaction, material nonpublic information 和responsibility of supervisor. 问题：为什么违反了responsibility of supervisor？？
        Solution：这条responsibility of supervisor指的是这个analyst违反priority of transaction, material nonpublic information的时候，他的supervisor也同时违反了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. 

         如果当地法律规定保密，哪怕顾客有违法行为都要保密。如果没有规定，那么standard中说明是否想当地法律机关report视自己而定，没有明确要求。所以这题选择D。都不要求report。
　　
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