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max · 2019年04月07日

问一道题:NO.PZ2016032801000026 [ CFA I ]

问题如下图:

请问c为什么不对?

选项:

A.

B.

C.

解释:

1 个答案

菲菲_品职助教 · 2019年04月08日

同学你好,C选项错在,只能在客户做完buy的交易后Rose才能卖自己的股票。其实是没有这个限制的,就像B选项所说,只要公司发布之后,Rose就可以进行自由交易。因为是迫不得已而不是说要跟公司对着干。

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NO.PZ2016032801000026 问题如下 Rose, a portfolio manager for a locinvestment aisory firm, is planning to sell a portion of his personinvestment portfolio to cover the costs of his chils acamic tuition. Rose wants to sell a portion of his holngs in HouseholProcts, but his firm recently upgrathe stoto \"strong buy.\" Whiof the following scribes Rose’s options unr the Co anStanr? A.Baseon his firm’s \"buy\" recommention, Rose cannot sell the shares because he woulimproperly prospering from the inflaterecommention. B.Rose is free to sell his personholngs onhis firm is properly informeof his intentions. C.Rose csell his personholngs but only when a client of the firm places orr to buy shares of Househol B is correct.StanrVI(–Priority of Transactions es not limit transactions of company employees thffer from current recommentions long the sale es not saantage current clients. Thus, answer A is incorrect. Answer C is incorrebecause the Stanres not require the matching of personanclient tras. b为什么对呢,is informeof his intention怎么理解

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2022-09-14 17:08 2 · 回答

请问这种情况如果ROSE是要买股票而不是卖,是不是必须要等客户交易以后才能买入?    

2019-05-21 19:18 1 · 回答

没有理解为什么选B,rose不是受益人吗??

2019-03-14 19:57 1 · 回答