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单场101分 · 2022年08月29日

integrity of capital market 和内部交易有什么关系?

* 问题详情,请 查看题干

NO.PZ201604030300004705

问题如下:

5. In his original purchase of 2,000 shares of the Japanese equity product, Riser least likely violates the Standard relating to:

选项:

A.

Suitability.

B.

Priority of Transactions.

C.

Integrity of Capital Markets.

解释:

A is correct.

Riser least likely violates Standard III(C) relating to suitability when purchasing shares for his own account. Riser may violate Standard II(A) —Material Nonpublic Information and possibly Standard VI(B) —Priority of Transactions when making the purchase. If, when trading for his own account, Riser knows that he will place a large block trade for Komm clients, he may be in possession of material nonpublic information. Standard VI(B) covers the activities of all members who have knowledge of pending transactions that may be made on behalf of their clients or employers. Riser has accepted the position of managing partner, has recommended the manager for the product, and knows, or should know, that he will purchase the product for at least some Komm clients once he begins work at Komm. His purchase ahead of Komm’s clients might be front-running. Best practice would be to delay his private account purchase until after he purchases shares for clients.

integrity of capital market 和内部交易有什么关系?没看到C选项,麻烦详细讲解一下,谢谢

2 个答案

王暄_品职助教 · 2022年09月05日

同问这道题,资本市场忠诚只有两条,市场操纵和mnpi,这道题跟这俩都没关系啊。为啥会有可能违反?几个小时后考试,求回复。

Riser在为自己的账户交易时,若他知道他将会为Komm的客户买入大量此类股票时,则他属于拥有内幕消息-->violate II(A)-Material nonpublic information; 

王暄_品职助教 · 2022年08月29日

Riser已经接受了在Komm公司的职位,他知道或者理应知道他即将为客户买入大量此类股票,所以他为自己的账户先行买入股票属于先行交易-->Violate VI(B)-Priority of transaction

 

光光 · 2022年09月05日

同问这道题,资本市场忠诚只有两条,市场操纵和mnpi,这道题跟这俩都没关系啊。为啥会有可能违反?几个小时后考试,求回复。