开发者:上海品职教育科技有限公司 隐私政策详情

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LizLiu · 2020年03月22日

问一道题:NO.PZ201604030300004803

* 问题详情,请 查看题干

问题如下:

3. According to CFA Institute Standards, which of the following actions is the most appropriate for Danko to take with respect to the use of the earnings projections? Danko should:

选项:

A.

disclose the information to the public.

B.

terminate PIA’s relationship with FTI.

C.

keep the information confidential and not use it in his analysis.

解释:

C is correct.

The information that Danko received is material non-public information. Disclosing the information to the public is not his role; further, earning gains for his clients does not excuse the violation and is not a justifiable reason for taking action on the material non-public information. The only entities that should release the information are the corporations or another entity with their permission, perhaps FTI.

为什么不是先dissociate 呢?B为什么不对?

1 个答案

发亮_品职助教 · 2020年03月23日

嗨,努力学习的PZer你好:


一般是在公司内部如果有违反活动,员工报告给Supervisor之后仍存在违反活动时,在这种情况下,员工可以和公司Dissociate,因为这样可以保护自己。


这道题的情况是,Danko的内幕信息是从经纪商处收到的,Danko能做的就是不利用内幕信息即可。

B选项说的是终止和经纪公司的业务,注意,外界第三方给我们说内幕信息,我们管不了别人说,因为不是公司内部,只要做到不利用他的内幕信息,也不促使他人利用这条内幕信息即可。


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