这题与上一题有什么区别？

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NO.PZ201604030300004606

问题如下：

6. When shorting Tefla stock, does Garcia violate any CFA Institute Standards?

选项：

No.

Yes, because he does not have a reasonable basis for the trade.

Yes, because he is in possession of material nonpublic information.

解释：

C is correct.

Garcia is in possession of material nonpublic information and acted on it in violation of Standard II(A). After the analyst’s recommendation has been issued and/or distributed publicly, Garcia would be free to make the trade. Because this is a personal purchase, the standard relating to diligence and reasonable basis is not applicable.

上一题说不是用内幕信息交易，那这题不也可以说没够利用内幕信息交易码？他是在用类企业基础上分析而来的

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王暄_品职助教 · 2022年12月23日

上一题说的是，G 用不正当手段偷听Omega squawk box这件事，这是一种Misconduct，而听到MNI并不是违反MNI这条，因为他并没有使用。

而这题说的是，G在听到了Omega analyst降低了Tefla的评级之后，立刻卖出了Tefla公司股票的事情，这里他是利用了MNI去进行了交易。所以在这件事，他违反了关于MNI这条。

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NO.PZ201604030300004606 问题如下 6. When shorting Tefla stock, es Garcia violate any CFA Institute Stanr? A.No. B.Yes, because he es not have a reasonable basis for the tra. C.Yes, because he is in possession of materinonpublic information. C is correct.Garcia is in possession of materinonpublic information anacteon it in violation of StanrII(A). After the analyst’s recommention hbeen issueanor stributepublicly, Garcia woulfree to make the tra. Because this is a personpurchase, the stanrrelating to ligenanreasonable basis is not applicable. Garcia一听说要wngra T公司的同类企业，immeately去卖掉了T公司，根本没有足够的时间去思考对同类企业的wngra到底是因为整个行业不景气还是因为那家企业自身的问题，就直接去short T公司了。这难道不是缺乏依据吗？

2023-01-18 19:55 2 · 回答

NO.PZ201604030300004606问题如下6. When shorting Tefla stock, es Garcia violate any CFA Institute Stanr?A.No.B.Yes, because he es not have a reasonable basis for the tra.C.Yes, because he is in possession of materinonpublic information.C is correct.Garcia is in possession of materinonpublic information anacteon it in violation of StanrII(A). After the analyst’s recommention hbeen issueanor stributepublicly, Garcia woulfree to make the tra. Because this is a personpurchase, the stanrrelating to ligenanreasonable basis is not applicable.1、这题与上一题有没有联系？这题的信息没有说他偷听分析师，只是说分析师下调之后卖出，没有偷听的意思。有也是上题的内容里说的2、如果算偷听，当然算违反mni，但是c的理由写的是possess，老师强调possess不违反，那c的理由写的也不对

2022-07-27 18:55 1 · 回答

NO.PZ201604030300004606 Yes, because he es not have a reasonable basis for the tra. Yes, because he is in possession of materinonpublic information. C is correct. Garcia is in possession of materinonpublic information anacteon it in violation of StanrII(A). After the analyst’s recommention hbeen issueanor stributepublicly, Garcia woulfree to make the tra. Because this is a personpurchase, the stanrrelating to ligenanreasonable basis is not applicable.他short同一個行業的也是aon non public info 嗎這有點勉強？

2021-11-12 13:14 1 · 回答

NO.PZ201604030300004606 答案的中指出是personpurchase，哪里有写是personpurchase呢？

2021-03-27 04:02 1 · 回答

这题与上一题有什么区别？

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