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 client
on an acquisition involving the existing client as either a target or a
competing bidder. Investment bankers might ask commercial bankers to confirm
material nonpublic information about the existing client.
A is incorrect. While this is a conflict of
interest, this is not likely the concern of the commercial banking manager as
this conflict deals with the brokerage division.
B is incorrect. While this is a conflict of
interest, this is not likely the concern of the commercial banking manager as
this conflict deals with the research department of the brokerage division.
D is incorrect. This is not a conflict of
interest.
老师好,B选项提到的要求 researchers to generate buy recommendations 是啥意思?