开发者:上海品职教育科技有限公司 隐私政策详情

应用版本:4.2.11(IOS)|3.2.5(安卓)APP下载

472121 · 2019年10月23日

问一道题:NO.PZ2016032802000041

问题如下图:

    

选项:

A.

B.

C.

解释:

请问为什么不是违反了priority of transaction?客户>公司>个人不是?


1 个答案

包包_品职助教 · 2019年10月23日

同学你好,priority of transaction指的是下单的时候要客户>公司>个人,也就是大家都要买同一个股票,那就要先给客户交易再公司再自己

这道题目是他没有公平对待自己的客户,没有对客户一视同仁。他优待了自己公司的高管,而损害了其它客户的利益

  • 1

    回答
  • 2

    关注
  • 553

    浏览
相关问题

NO.PZ2016032802000041 问题如下 Joe, CFworks for the IPO of misizeArtificiIntelligenfirms Ainvestment bank. BaCompany is one of these firms whiwill go public soon. Joe stribute10% of the shares of BaCompany to senior management in his firm before it goes publiRegarng this action, whiof the following statements is most accurate? A.Joe compliewith StanrVI(sclosure of Conflicts. B.Joe violateStanrV(Communication with Clients anProspective Clients. C.Joe violateStanrIII(Fair aling. C is correct.Accorng to StanrIII (Fair aling, in this case of IPOs, Joe takes the aantage of his position to benefit his firm's senior management ansaantges clients whiviolate this stanr B错在了那里?

2022-10-18 04:14 1 · 回答

NO.PZ2016032802000041 baba是他的客户又怎么样呢。他只是把baba公司的股份给了一些给高管,违反内幕交易是肯定的,但是哪里违法了他客户的利益呢。

2022-01-08 11:11 1 · 回答

NO.PZ2016032802000041 Joe violateStanrV(Communication with Clients anProspective Clients. Joe violateStanrIII(Fair aling. C is correct. Accorng to StanrIII (Fair aling, in this case of IPOs, Joe takes the aantage of his position to benefit his firm's senior management ansaantges clients whiviolate this stanr没明白ba公司和他正在工作的准备上市的ai公司有什么关系?为什么违反了fair aling?

2021-10-20 08:46 1 · 回答

Joe violateStanrV(Communication with Clients anProspective Clients. Joe violateStanrIII(Fair aling. C is correct. Accorng to StanrIII (Fair aling, in this case of IPOs, Joe takes the aantage of his position to benefit his firm's senior management ansaantges clients whiviolate this stanr老师您好,这道题不太明白,题目只说了Joe是某公司做IPO的,B公司将上市,并没说Joe在为B公司上市提供服务,在不知情的情况下分给高管层股权没有违反ethics吧

2020-11-28 20:32 1 · 回答

Joe violateStanrV(Communication with Clients anProspective Clients. Joe violateStanrIII(Fair aling. C is correct. Accorng to StanrIII (Fair aling, in this case of IPOs, Joe takes the aantage of his position to benefit his firm's senior management ansaantges clients whiviolate this stanr老师,这题怎么看出公司高管也是他的客户?

2020-10-31 18:09 1 · 回答