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Linda · 2024年05月14日

可以帮忙讲解一下这个题目吗

NO.PZ2023021602000057

问题如下:

Chris Rodriguez, CFA, is a portfolio manager at Nisqually Asset Management, which specializes in trading highly illiquid shares. Rodriguez has been using Hon Securities Brokers almost exclusively when making transactions for Nisqually clients, as well as for his own relatively small account. Hallways executes Rodriguez's personal trades at a more preferential price than for Rodriguez’s clients' accounts. This special pricing occurs regardless of whether or not Rodriguez personally trades before or after clients. Rodriguez should least likely do which of the following in order to comply with the CFA Institute Standards of Professional Conduct?

选项:

A.Trade client accounts before his own account. B.Eliminate the exclusive trading arrangement. C.Average trade prices across all trading accounts.

解释:

Rodriguez is in violation of Standard IV(A): Loyalty, which requires that, in matters related to their employment, members and candidates must act for the benefit of their employer and not deprive their employer of the advantage of their skills and abilities, divulge confidential information, or otherwise cause harm to their employer. Rodriguez should not accept the special treatment from Hon; instead, he should ask Hon to lower costs for the transactions of his Nisqually clients. Rodriguez should not average transaction costs because his clients should be given the lower preferential prices according to Standard III(A): Loyalty, Prudence, and Care.

可以帮忙讲解一下这个题目吗


1 个答案

王暄_品职助教 · 2024年05月14日

Chris Rodriguez是一名CFA(特许金融分析师),他在Nisqually Asset Management担任投资组合经理。这家公司专门从事流动性较低的股票交易。题目描述了一种情况,即Rodriguez在使用Hon Securities Brokers进行交易时,他的个人账户获得了比客户更优惠的价格,这无论他是否在客户之前或之后进行个人交易都是如此

A. 在自己的账户之前交易客户账户:这并不是解决问题的根本方法,因为问题的核心在于个人账户获得了特殊优惠,而不是交易的顺序。

B. 取消独家交易安排:这是解决问题的有效方法。通过取消与Hon Securities Brokers的独家交易安排,Rodriguez可以寻求更公平、更透明的交易条件,确保客户和他自己的账户在交易中得到公平对待。

C. 所有交易账户的平均交易价格:这并不是一个好的解决方案。平均交易价格并不能解决个人账户获得特殊优惠的问题,反而可能掩盖了实际的不公平情况。此外,根据CFA的专业行为标准,客户应该获得更低、更优惠的价格。

根据Standard IV(A): Loyalty:CFA在与其雇佣相关的事务中,必须为了雇主的利益行事,不得剥夺雇主对其技能和能力的优势,不得泄露机密信息,或以其他方式对雇主造成伤害。在本题中,Rodriguez通过接受Hon的特殊待遇,可能损害了其雇主的利益。

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