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RyanR · 2024年02月17日

C选项的原因是哪

NO.PZ2016032801000021

问题如下:

Smith is a financial analyst with XYZ Brokerage Firm. She is preparing a purchase recommendation on JNI Corporation. Which of the following situations is most likely to represent a conflict of interest for Smith that would have to be disclosed?

选项:

A.

Smith frequently purchases items produced by JNI.

B.

XYZ holds for its own account a substantial common stock position in JNI.

C.

Smith’s brother-in-law is a supplier to JNI.

解释:

B is correct.

This question involves Standard VI(A) –Disclosure of Conflicts specifically, the holdings of an analyst’s employer in company stock. Answers A and C do not describe conflicts of interest that Smith would have to disclose. Answer A describes the use of a firm’s products, which would not be a required disclosure. In answer C, the relationship between the analyst and the company through a relative is so tangential that it does not create a conflict of interest necessitating disclosure.

是因为brother-in-law 不用披露 还是因为supplier不用披露。。

1 个答案

王暄_品职助教 · 2024年02月18日

S是XYZ经纪公司的分析师,他正在准备关于JNI公司的购买投资建议,一下哪个选项最容易产生利益冲突

A:S经常购买JNI公司制造的产品—>购买JNI产品并不会产生利益冲突,不用披露

B:S自己的个人账户了,购买了大量的JNI公司的股票—>这会产生利益冲突,如果Smith写了买入的投资建议给广大投资者,事后被人发现了他自己本身持有大量JNI公司的股票,会引起别人的怀疑,所以要披露

C:S的老婆的哥哥是JNI公司的供应商—>无论是老婆的哥哥,还是供应商,两者都没关系重大利益关系,不用披露

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NO.PZ2016032801000021 这个分析师给客户推介股票同时自己的公司XYZ也持有股票,这会有啥利益冲突。给自己买和客户一样的,不也是一种负责么,说明看好JNI呀,如果JNI的股票跌了,那他自己不也受损了么

2021-10-21 22:33 1 · 回答

NO.PZ2016032801000021 XYZ hol for its own account a substanticommon stoposition in JNI. Smith’s brother-in-lis a supplier to JNI. B is correct. This question involves StanrVI(–sclosure of Conflicts — specifically, the holngs of analyst’s employer in company stock. Answers A anC not scriconflicts of interest thSmith woulhave to sclose. Answer A scribes the use of a firm’s procts, whiwoulnot a requiresclosure. In answer the relationship between the analyst anthe company through a relative is so tangentithit es not create a confliof interest necessitating sclosure.B是公司持有,还是分析师的个人账户持有呢

2021-04-27 21:01 2 · 回答

XYZ hol for its own account a substanticommon stoposition in JNI. Smith’s brother-in-lis a supplier to JNI. B is correct. This question involves StanrVI(–sclosure of Conflicts — specifically, the holngs of analyst’s employer in company stock. Answers A anC not scriconflicts of interest thSmith woulhave to sclose. Answer A scribes the use of a firm’s procts, whiwoulnot a requiresclosure. In answer the relationship between the analyst anthe company through a relative is so tangentithit es not create a confliof interest necessitating sclosure.b能下吗?为啥有利益?

2021-02-03 14:20 1 · 回答

这道题出的不好我觉得c可以选。。。

2021-01-02 12:24 1 · 回答