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贝就要贝到底 · 2019年05月01日

问一道题:NO.PZ201604030100004404 第4小题

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问题如下图:

    

选项:

A.

B.

C.

解释:


这道题不是因为 Voser得到了MNI from    supervisor所以才建议 加投的吗?她也没有做reasonable  research呀?

1 个答案
已采纳答案

包包_品职助教 · 2019年05月01日

同学你好,这里他都有内幕信息了,其实就不涉及reasonable  research了。相当于你都有了可靠的对股价产生重大影响的消息了,还需要什么reasonable  research呢。而且他明显违反了前两条,所以选C。

木木__ · 2019年05月24日

请问老师 怎么判断这题SISTER就是他的客户,既然不是他的客户是不是就不适用 cfa的standard

包包_品职助教 · 2019年05月24日

不管他的sister 是不是他的客户,他本人都要遵守standard 的要求,都不能利用内幕信息帮自己或者他人交易。也要遵守loyal to employers

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NO.PZ201604030100004404 问题如下 4. When recommenng the purchase of aitionGreenhornfoocompany shares, Voser least likely violates the Stanrrelating to: A.loyalty to employer. B.integrity of capitmarkets. C.ligenanreasonable basis. C is correct.Voser least likely violatethe Stanrrelating to ligenanreasonable basis. Voser initially appliethe mosaic theory anha reasonable basis for the tra requireStanrV(A). Eventually, she came into possession of materinonpublic information (corporate logo on a cument, overhearconversation). Accorng to StanrII(A), onin possession of materinonpublic information, she is prohibitefrom acting or causing others to act. Voser also violateher ty of loyalty to her employer, StanrIV(A), encouraging others to tra in Greenhornfooanpossibly harming Crawfoos attempts to acquire the smaller company attractive price. 老师,请教下1、重大非公开信息有一点事信息来源可靠,Voser看到老板办公桌上有一个文件上面有Green公司logo,听到别人说公司名字,但题目没有说他看到文件内容或听到对话内容,这个是不是有点不可靠呀?这纯粹啥实质性信息也没听见,全靠自己联想呀。这个不可靠的信息+之前看新闻得到的公开信息,是不是更像马赛克理论呢?2、麻烦老师讲解下,什么情况就能算信息来源可靠了呢?我记得经典题讲到过一个案例,是一个人看到两个公司高管吃饭,结合一些公开信息,推断出两家公司合并,这个就属于是马赛克理论,是不违反道德的。

2024-08-24 21:32 1 · 回答

integrity of capitmarkets. ligenanreasonable basis. C is correct. Voser least likely violatethe Stanrrelating to ligenanreasonable basis. Voser initially appliethe mosaic theory anha reasonable basis for the tra requireStanrV(A). Eventually, she came into possession of materinonpublic information (corporate logo on a cument, overhearconversation). Accorng to StanrII(A), onin possession of materinonpublic information, she is prohibitefrom acting or causing others to act. Voser also violateher ty of loyalty to her employer, StanrIV(A), encouraging others to tra in Greenhornfooanpossibly harming Crawfoos attempts to acquire the smaller company attractive price. 他的妹妹都不是他的client吧,只是这个分析师看到这个股票好,所以两次推荐给了他妹妹加仓,所以不管怎样他都不违反ligence&reasonable?

2020-11-29 18:05 2 · 回答

integrity of capitmarkets. ligenanreasonable basis. C is correct. Voser least likely violatethe Stanrrelating to ligenanreasonable basis. Voser initially appliethe mosaic theory anha reasonable basis for the tra requireStanrV(A). Eventually, she came into possession of materinonpublic information (corporate logo on a cument, overhearconversation). Accorng to StanrII(A), onin possession of materinonpublic information, she is prohibitefrom acting or causing others to act. Voser also violateher ty of loyalty to her employer, StanrIV(A), encouraging others to tra in Greenhornfooanpossibly harming Crawfoos attempts to acquire the smaller company attractive price. 我就想知道B是为什么

2020-11-13 22:56 1 · 回答

    老师,c错在哪里呢

2019-03-31 21:19 1 · 回答