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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陈Shelly · 2020年11月11日

问一道题:NO.PZ2016040303000021

问题如下:

Smith is a financial analyst with XYZ Brokerage Firm. She is preparing a purchase recommendation on JNI Corporation. Which of the following situations is most likely to represent a conflict of interest for Smith that would have to be disclosed?

选项:

A.

Smith frequently purchases items produced by JNI.

B.

XYZ holds for its own account a substantial common stock position in JNI.

C.

Smith’s brother-in-law is a supplier to JNI.

解释:

B is correct.

This question involves Standard VI(A) –Disclosure of Conflicts—specifically, the holdings of an analyst’s employer in company stock. Answers A and C do not describe conflicts of interest that Smith would have to disclose.

Answer A describes the use of a firm’s products, which would not be a required disclosure. In answer C, the relationship between the analyst and the company through a relative is so tangential that it does not create a conflict of interest necessitating disclosure.

是XYZ公司帐户还是Smith的个人帐户?

题目里说的是公司帐户持有的吧?

1 个答案

王暄_品职助教 · 2020年11月12日

谢谢同学指出问题,这里答错了,应该是XYZ公司的账户持有大量JNI公司的股票,会产生利益冲突。如果S发布了买入的建议给投资者们,那么就会引起外部的怀疑:是不是因为你们公司持有JNI的股票,你才会这样建议呢?-->所以需要披露