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徐威廉 · 2020年08月30日

问一道题:NO.PZ2016032802000042 [ CFA II ]

问题如下:

Susan Swith, CFA, works as a portfolio manager at ABC Asset Management Company, which has a long-term relationship with the Tiny Investment Bank. These days, Tiny Bank issues a IPO of Sunny Company, so, they request Susan to purchase shares of it to increase the stock price quickly. Susan considers their relationship and then accepts this requirement. Which of the following statements is most accurate?

选项:

A.

Susan violates Standard VI(B) Priority of Transactions.

B.

Susan violates Standard II(B) Market Manipulation.

C.

Susan complies with the Code and Standards.

解释:

B is correct.

According to Standard II(B) Market Manipulation, Susan accepts this requirement which is a violation of increasing the stock price artificially. This is a Transaction-Based Manipulation.

老师上课说了几种情况之一是不属于市场操场的,其中就包括为了增加IPO股票的流动性的操作,这条就是啊,为什么违反?
1 个答案
已采纳答案

王暄_品职助教 · 2020年08月31日

嗨,努力学习的PZer你好:


本题不是为了增加流动性,请看文中的句子“so, they request Susan to purchase shares of it to increase the stock price quickly.”这明显是为了虚增股票价格。所以属于市场操纵。


-------------------------------
虽然现在很辛苦,但努力过的感觉真的很好,加油!


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NO.PZ2016032802000042 问题如下 SusSwith, CFworks a portfolio manager AAsset Management Company, whiha long-term relationship with the Tiny Investment Bank. These ys, Tiny Bank issues a IPO of Sunny Company, so, they request Susto purchase shares of it to increase the stopriquickly. Susconsirs their relationship anthen accepts this requirement. Whiof the following statements is most accurate? A.Susviolates StanrVI(Priority of Transactions. B.Susviolates StanrII(Market Manipulation. C.Suscomplies with the Co anStanr. B is correct.Accorng to StanrII(Market Manipulation, Susaccepts this requirement whiis a violation of increasing the stopriartificially. This is a Transaction-BaseManipulation. 请教老师,这题如果是因为T公司和S公司好,所以T公司发行IPO,找到战略合作伙伴买一些,其实这个也不算违反市场操控吧?或者S是考虑和T公司的关系可能也比较看好T公司未来而买这个股票,只是买的人多了股价就高了。这里感觉C也说得通。请老师一下。

2023-04-02 22:42 1 · 回答

NO.PZ2016032802000042 对投行和资管公司之间的利益关系有点没太懂。谢谢助教。

2022-01-07 23:16 1 · 回答

老师我不太明白这道题选择为什么选Misconct…………感觉与课件讲的都不靠啊?

2020-10-09 15:39 1 · 回答

    你好,这道题目为什么不选择A,谢谢~我理解的操纵市场是指虚增交易量,这道题目不涉及到这点,所以这道题目不应该选择B,麻烦一下,AB的区别,谢谢

2018-11-06 15:39 1 · 回答