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Nimo. · 2024年07月21日

不是说了当地法律允许使用非公开信息吗？

  1. CFA I
  2. Ethics

NO.PZ2016032802000037

问题如下：

Kland, a country on an island, which allows the use of nonpublic information. Smith has a close friend, Johnson, who is CFA charterholder. Smith shared nonpublic information about several firms' earnings and M&A outside his industry with Johnson. Regarding this information, which of the following statements is most correct about Johnson's action?

选项：

A.

Johnson can trade on the information because the information has no relationship with Smith's industry.

B.

Johnson cannot trade on the information according to the Code and Standards of CFA Insititute.

C.

Johnson can trade on the nonpublic information which is allowed by the Kland's laws.

解释：

B is correct.

According to the Standard II(A) Material Non-public Information, although Kland allows the use of nonpublic information, as a CFA Charterholder, Johnson's behavior is governed by the Code and Standards of CFA Institute. This standard forbids the use of material nonpublic information, so Johnson cannot trade on the information shared by Smith.

到底是当地法律更严格还是CFA协会准则更严格啊😭好多题做下来我的记忆都不一样

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已采纳答案

王暄_品职助教 · 2024年07月22日

Kland是一个允许使用非公开信息的国家。Smith将关于其他行业公司盈利和并购的非公开信息共享给了他的好友Johnson。

  • A选项（Johnson可以交易这些信息，因为信息与Smith的行业无关）：这个选项忽略了CFA协会的道德准则，仅考虑了当地法律，因此不正确。
  • B选项（根据CFA协会的道德准则和标准，Johnson不能交易这些信息）：这个选项正确地指出了CFA协会的道德准则对Johnson的约束力，即使当地法律允许，作为CFA成员，他仍需遵守更高的道德标准。
  • C选项（Johnson可以交易这些非公开信息，因为这是Kland法律所允许的）：这个选项仅考虑了当地法律，忽略了CFA协会的道德准则，因此不正确。

在这个问题中，CFA协会的道德准则比Kland的法律更严格。尽管当地法律允许使用非公开信息，但CFA协会的道德准则禁止其成员利用此类信息进行交易。

B选项正确。作为CFA协会的成员，Johnson必须遵守协会的道德准则和标准，即使当地法律允许，他也不能利用非公开信息进行交易。

因此，本题中，CFA协会的道德准则比当地法律更严格，Johnson作为CFA成员，必须遵守更高的道德标准。

道德准则要求，作为CFA成员，必须遵守更高的道德标准，具体当地法律的要求严格还是CFA道德准则要求严格，需要根据题目信息进行比对，从而遵守更为严格的。


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NO.PZ2016032802000037问题如下 Klan a country on islan whiallows the use of nonpublic information. Smith ha close frien Johnson, who is CFA charterholr. Smith sharenonpublic information about severfirms' earnings anM A outsi his instry with Johnson. Regarng this information, whiof the following statements is most correabout Johnson's action?A.Johnson ctra on the information because the information hno relationship with Smith's instry.B.Johnson cannot tra on the information accorng to the Co anStanr of CFA Insititute.C.Johnson ctra on the nonpublic information whiis allowethe Klans laws.B is correct.Accorng to the StanrII(MateriNon-public Information, although Klanallows the use of nonpublic information, a CFA Charterholr, Johnson's behavior is governethe Co anStanr of CFA Institute. This stanrforbi the use of materinonpublic information, so Johnson cannot tra on the information shareSmith.所以 这种没提及身份职位 但是出现了earning、M A关键词的题 都默认为是选 违法co？

2024-10-28 20:08 1 · 回答

NO.PZ2016032802000037 问题如下 Klan a country on islan whiallows the use of nonpublic information. Smith ha close frien Johnson, who is CFA charterholr. Smith sharenonpublic information about severfirms' earnings anM A outsi his instry with Johnson. Regarng this information, whiof the following statements is most correabout Johnson's action? A.Johnson ctra on the information because the information hno relationship with Smith's instry. B.Johnson cannot tra on the information accorng to the Co anStanr of CFA Insititute. C.Johnson ctra on the nonpublic information whiis allowethe Klans laws. B is correct.Accorng to the StanrII(MateriNon-public Information, although Klanallows the use of nonpublic information, a CFA Charterholr, Johnson's behavior is governethe Co anStanr of CFA Institute. This stanrforbi the use of materinonpublic information, so Johnson cannot tra on the information shareSmith. 并没有发现信息是否是material的证据，单纯探讨一下哈。

2024-08-05 13:16 1 · 回答

NO.PZ2016032802000037 老师，这道题哪里提到或者证明了消息的reliable呢

2021-12-26 23:13 1 · 回答

    Smith透露的消息并不是他所在的行业内的，那么这个消息就不是reliable的，不算materinonpublic info吧

2019-12-06 11:27 1 · 回答