NO.PZ2023091802000001
问题如下:
The investment banking division of a large German bank recently engaged a new client whose business is in direct competition with an existing client of the commercial banking division of the bank. A manager in the commercial banking division is concerned about conflicts of interest that may arise from providing both clients with a high level of customer service. What is of greatest concern to the manager regarding this situation?
选项:
A.
The investment banking division pressuring the banks brokers to buy certain securities for clients
B.
The investment banking division pressuring researchers to generate buy recommendations for the new client
C.
The investment banking division pressuring commercial bankers to confirm material nonpublic information
D.
The investment banking division pressuring commercial bankers to open a banking relationship with the new client
解释:
C is correct. An investment banker could be advising the new clienton an acquisition involving the existing client as either a target or acompeting bidder. Investment bankers might ask commercial bankers to confirmmaterial nonpublic information about the existing client.
A is incorrect. While this is a conflict ofinterest, this is not likely the concern of the commercial banking manager asthis conflict deals with the brokerage division.
B is incorrect. While this is a conflict ofinterest, this is not likely the concern of the commercial banking manager asthis conflict deals with the research department of the brokerage division.
D is incorrect. This is not a conflict ofinterest.
这道题没太懂什么意思