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IanZQ · 2022年10月18日

MNI

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NO.PZ201604030100004401

问题如下:

1. Are Excerpts 2 and 3 of Crawfood’s compliance procedures consistent with the CFA Institute Standards of Professional Conduct?

选项:

A.

Yes.

B.

No, because Excerpt 2 applies only to officers and their direct reports.

C.

No, because Excerpt 3 does not require employees to achieve public dissemination.

解释:

B is correct.

Excerpt 2 is inconsistent with CFA Standards because it addresses only officers and only their direct reports, that is, employees whom they directly supervise. Standard IV (C) states that "any investment professionals who have employees subject to their control or influence" exercise supervisory responsibility. According to The Standards of Practice Handbook, "members and candidates who supervise large numbers of employees cannot personally evaluate the conduct of their employees on a continuing basis. Although these members . . . may delegate supervisory duties, such delegation does not relieve them of their supervisory responsibility." Excerpt 3 is consistent with CFA Standards. It is based on a quote from the Standards of Practice Handbook stating that "if a member or candidate determines that information is material, the member . . . should make reasonable efforts to achieve public dissemination." Members are not required to achieve public dissemination and those bound by a duty of loyalty or a duty to preserve confidentiality would refrain from doing so because it would breach their duty.

第三点,自己知道MNI就要dissemination?这点怎么没印象啊。而且既然是MNI,不应该注意保密么~~~

1 个答案

王暄_品职助教 · 2022年10月18日

他这里说的是:如果有MNI,要尽快促使他公布呀,比如你从某上市公司获得了内幕,你就要跟该公司的CEO说,你要快点公布哦。

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相关问题

NO.PZ201604030100004401问题如下 1. Are Excerpts 2 an3 of Crawfoos complianproceres consistent with the CFA Institute Stanr of ProfessionConct?A.Yes.B.No, because Excerpt 2 applies only to officers antheir rereports.C.No, because Excerpt 3 es not require employees to achieve public ssemination.B is correct.Excerpt 2 is inconsistent with CFA Stanr because it aresses only officers anonly their rereports, this, employees whom they rectly supervise. StanrIV (states th\"any investment professionals who have employees subjeto their control or influence\" exercise supervisory responsibility. Accorng to The Stanr of PractiHanook, \"members ancantes who supervise large numbers of employees cannot personally evaluate the conof their employees on a continuing basis. Although these members . . . mlegate supervisory ties, sulegation es not relieve them of their supervisory responsibility.\" Excerpt 3 is consistent with CFA Stanr. It is baseon a quote from the Stanr of PractiHanook stating th\"if a member or cante termines thinformation is material, the member . . . shoulmake reasonable efforts to achieve public ssemination.\" Members are not requireto achieve public ssemination anthose bouna ty of loyalty or a ty to preserve confintiality woulrefrain from ing so because it woulbreatheir ty. 我记得何老师上课时提过 内幕信息只要自己不使用就可以 比如股票放入限制性清单 协会没有要求一定要促使公布吧 ?还是我记错了? 请问这条的具体要求可以贴一下吗,谢谢!

2024-04-16 20:31 1 · 回答

NO.PZ201604030100004401 能否下B及答案呢?

2021-09-28 11:29 1 · 回答

NO.PZ201604030100004401 excerpt 2只是说officer有responsibility, 并没有Only的意思,为什么错?

2021-08-14 12:06 1 · 回答

老师,B项中OFFICER具体是什么职位?officer和SUPERVISOR有什么不同?谢谢您。

2020-05-26 10:10 2 · 回答