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呆包纸 · 2018年06月14日

问一道题:NO.PZ201604030100004401 第1小题 [ CFA II ]

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这个excerpt 3感觉和不能使用material nonpublic info冲突了?不是说material nonpublic info自己不能用,还要防止别人用?

问题如下图:

选项:

A.

B.

C.

解释:

1 个答案
已采纳答案

品职辅导员_小明 · 2018年06月15日

你说的这个是底线,协会的建议是尽快促使这些非公开的内幕消息变成公开信息,时间越短,就越少有机会内幕交易。当然了你自己是不能公开的,你应该促使上市公司公开。

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

2022-10-18 14:54 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