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庄园monar · 2022年10月18日

B错在了那里?

NO.PZ2016032802000041

问题如下:

Joe, CFA, works for the IPO of mid-sized Artificial Intelligence firms at ABC investment bank. BaBa Company is one of these firms which will go public soon. Joe distributed 10% of the shares of BaBa Company to senior management in his firm before it goes public. Regarding this action, which of the following statements is most accurate?

选项:

A.

Joe complied with Standard VI(A) Disclosure of Conflicts.

B.

Joe violated Standard V(B) Communication with Clients and Prospective Clients.

C.

Joe violated Standard III(B) Fair Dealing.

解释:

C is correct.

According to Standard III (B) Fair Dealing, in this case of IPOs, Joe takes the advantage of his position to benefit his firm's senior management and disadvantges clients which violate this standard.

B错在了那里?

1 个答案

王暄_品职助教 · 2022年10月18日

现在Joe知道ABC公司要上市了,所以他提前分了10%这家公司的股票给他的领导,属于违反fair dealing,没有公平的对待客户,损害了客户的利益;

而Joe的行为压根没有涉及V(B)这一条呀,所以B说Jeo违反V(B)是错的,不选B。


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NO.PZ2016032802000041 baba是他的客户又怎么样呢。他只是把baba公司的股份给了一些给高管,违反内幕交易是肯定的,但是哪里违法了他客户的利益呢。

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2021-10-20 08:46 1 · 回答

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2020-11-28 20:32 1 · 回答

Joe violateStanrV(Communication with Clients anProspective Clients. Joe violateStanrIII(Fair aling. C is correct. Accorng to StanrIII (Fair aling, in this case of IPOs, Joe takes the aantage of his position to benefit his firm's senior management ansaantges clients whiviolate this stanr老师,这题怎么看出公司高管也是他的客户?

2020-10-31 18:09 1 · 回答