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北匈奴人 · 2024年12月10日

A为什么不对?

NO.PZ2018062009000032

问题如下:

Darcy works as an investment manager in a large firm. When attending a cocktail party, Darcy met a research analyst, Atwood, who showed interest in switching job to Darcy's firm. Atwood told Darcy that he recently engaged in a merger of two local companies. There is a rumor that the two companies will merge, but no official information has been made public yet. If Darcy doesn't want to violate the Code and Standards, what should he do?

选项:

A.

Ask Atwood to officially release the new information so the information can be traded on.

B.

Send emails to all the clients of his firm about the new information so as to help them make investment decisions.

C.

Add the relevant securities to the firm’s restricted trading list.

解释:

C is correct.

Based on Standard II(A) Material Nonpublic Information, if a firm has or may have material nonpublic information, securities should be added to the firm’s restrict list, C is correct. The infomation can not be traded on until it is disseminated to the market, both Atwood and Darcy are not allowed to disclose the information to others, A and B are incorrect.

基于准则II(A)重大非公开信息,如果公司有或可能获得重大非公开信息,那么相关的证券应该被放入限制性清单里。所以选项C正确。

相关信息在被公开之前不可以用来进行交易,Atwood和Darcy不可以披露这些信息给别人,所以选项A和选项B错误。

不应该催促他们尽快公布消息吗

1 个答案

王暄_品职助教 · 2024年12月11日

重大非公开信息必须等到正式公开后才能用于交易决策。这是因为,如果允许基于未公开的信息进行交易,将会破坏市场的公平性和透明度。因此,即使Darcy要求Atwood发布信息,也不能保证这一信息会立即或按照Darcy的期望被公开。相比之下,选项C“将相关证券加入公司的限制交易列表”是一个符合合规要求的做法。这样做可以确保在信息公开之前,没有人能够基于这些非公开信息进行交易,从而保护了市场的公平性和透明度。

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NO.PZ2018062009000032问题如下rworks investment manager in a large firm. When attenng a cocktail party, rmet a researanalyst, Atwoo who showeinterest in switching job to rcy's firm. Atwootolrthhe recently engagein a merger of two loccompanies. There is a rumor ththe two companies will merge, but no officiinformation hbeen ma public yet. If resn't want to violate the Co anStanr, whshoulhe ?A.Ask Atwooto officially release the new information so the information ctraon.B.Senemails to all the clients of his firm about the new information so to help them make investment cisions.C.A the relevant securities to the firm’s restrictetrang list. C is correct.Baseon StanrII(MateriNonpublic Information, if a firm hor mhave materinonpublic information, securities shoulaeto the firm’s restrilist, C is correct. The infomation cnot traon until it is sseminateto the market, both Atwooanrare not alloweto sclose the information to others, A anB are incorrect.基于准则II(A)重大非公开信息,如果公司有或可能获得重大非公开信息,那么相关的证券应该被放入限制性清单里。所以C正确。相关信息在被公开之前不可以用来进行交易,Atwoorcy不可以披露这些信息给别人,所以A和B错误。 其实我的理解就是,他们俩只要不要说这个消息,用这个消息影响自己的投资决策就好了,为什么一定要放进限制性清单里呢?就是她就当没听过这个消息不行吗😂

2024-07-21 20:42 1 · 回答

NO.PZ2018062009000032 问题如下 rworks investment manager in a large firm. When attenng a cocktail party, rmet a researanalyst, Atwoo who showeinterest in switching job to rcy's firm. Atwootolrthhe recently engagein a merger of two loccompanies. There is a rumor ththe two companies will merge, but no officiinformation hbeen ma public yet. If resn't want to violate the Co anStanr, whshoulhe ? A.Ask Atwooto officially release the new information so the information ctraon. B.Senemails to all the clients of his firm about the new information so to help them make investment cisions. C.A the relevant securities to the firm’s restrictetrang list. C is correct.Baseon StanrII(MateriNonpublic Information, if a firm hor mhave materinonpublic information, securities shoulaeto the firm’s restrilist, C is correct. The infomation cnot traon until it is sseminateto the market, both Atwooanrare not alloweto sclose the information to others, A anB are incorrect.基于准则II(A)重大非公开信息,如果公司有或可能获得重大非公开信息,那么相关的证券应该被放入限制性清单里。所以C正确。相关信息在被公开之前不可以用来进行交易,Atwoorcy不可以披露这些信息给别人,所以A和B错误。 RT

2023-01-15 10:37 1 · 回答

NO.PZ2018062009000032问题如下 rworks investment manager in a large firm. When attenng a cocktail party, rmet a researanalyst, Atwoo who showeinterest in switching job to rcy's firm. Atwootolrthhe recently engagein a merger of two loccompanies. There is a rumor ththe two companies will merge, but no officiinformation hbeen ma public yet. If resn't want to violate the Co anStanr, whshoulhe ?A.Ask Atwooto officially release the new information so the information ctraon.B.Senemails to all the clients of his firm about the new information so to help them make investment cisions.C.A the relevant securities to the firm’s restrictetrang list. C is correct.Baseon StanrII(MateriNonpublic Information, if a firm hor mhave materinonpublic information, securities shoulaeto the firm’s restrilist, C is correct. The infomation cnot traon until it is sseminateto the market, both Atwooanrare not alloweto sclose the information to others, A anB are incorrect.基于准则II(A)重大非公开信息,如果公司有或可能获得重大非公开信息,那么相关的证券应该被放入限制性清单里。所以C正确。相关信息在被公开之前不可以用来进行交易,Atwoorcy不可以披露这些信息给别人,所以A和B错误。 A麻烦详细翻译一下。

2022-10-25 16:54 1 · 回答

b错在哪里了都公开了也有错?

2021-01-01 17:24 1 · 回答