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shirley_hd · 2020年07月12日

问一道题：NO.PZ201604030300004606

  1. CFA III
  2. Ethics

* 问题详情，请 查看题干

问题如下：

6. When shorting Tefla stock, does Garcia violate any CFA Institute Standards?

选项：

A.

No.

B.

Yes, because he does not have a reasonable basis for the trade.

C.

Yes, because he is in possession of material nonpublic information.

解释：

C is correct.

Garcia is in possession of material nonpublic information and acted on it in violation of Standard II(A). After the analyst’s recommendation has been issued and/or distributed publicly, Garcia would be free to make the trade. Because this is a personal purchase, the standard relating to diligence and reasonable basis is not applicable.

这道题和上一道题是否有关联，G同学的行为到底触发了MNI没有。。。

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1 个答案

王暄_品职助教 · 2020年07月13日

嗨，爱思考的PZer你好：


  • 没有关联，两题说的不是同一件事。上一题说的是，G 用不正当手段偷听Omega squawk box这件事，这是一种Misconduct，而听到MNI并不是违反MNI这条，因为他并没有使用。
  • 而这题说的是，G在听到了Omega analyst降低了Tefla所在行业其他公司的评级之后，立刻卖出了Tefla公司股票的事情，这里他是利用了MNI去进行了交易。所以在这件事，他违反了关于MNI这条。

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NO.PZ201604030300004606 问题如下 6. When shorting Tefla stock, es Garcia violate any CFA Institute Stanr? A.No. B.Yes, because he es not have a reasonable basis for the tra. C.Yes, because he is in possession of materinonpublic information. C is correct.Garcia is in possession of materinonpublic information anacteon it in violation of StanrII(A). After the analyst’s recommention hbeen issueanor stributepublicly, Garcia woulfree to make the tra. Because this is a personpurchase, the stanrrelating to ligenanreasonable basis is not applicable. Garcia一听说要wngra T公司的同类企业，immeately去卖掉了T公司，根本没有足够的时间去思考对同类企业的wngra到底是因为整个行业不景气还是因为那家企业自身的问题，就直接去short T公司了。这难道不是缺乏依据吗？

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