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Wheel · 2023年01月22日

为什么不选C

  1. CFA I
  2. Ethics

NO.PZ2018062009000069

问题如下：

Q. A CFA Institute member would violate the standard for material nonpublic information by:

选项：

A.

conducting price distortion practices.

B.

inappropriately causing others to act.

C.

inadequately maintaining investment records.

解释：

B is correct. Under Standard II.A Material Nonpublic Information, members having material nonpublic information that could affect the value of an investment must not cause others to act on the information.

A is incorrect because price distortion is mentioned in the Standard II.B Market Manipulation, not Standard II.A Material Nonpublic Information.

C is incorrect because the maintenance of appropriate records to support investment analyses is noted in Standard V.C Record Retention, not Standard II.A Material Nonpublic Information.

我的理解是说你获得重大非公开信息，如果没有做好头寸记录，可能会违反这条，所以为什么不选C？


麻烦解答一下，谢谢

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1 个答案

王暄_品职助教 · 2023年01月23日

问的是，以下哪种行为会违反 II(A)内幕信息这条。

C说的是没做好投资记录保存，违反的是record retention，而不是内幕。

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