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haq1992212 · 2020年11月28日

问一道题:NO.PZ2016032802000041 [ CFA II ]

问题如下:

Joe, CFA, works for the IPO of mid-sized Artificial Intelligence firms at ABC investment bank. BaBa Company is one of these firms which will go public soon. Joe distributed 10% of the shares of BaBa Company to senior management in his firm before it goes public. Regarding this action, which of the following statements is most accurate?

选项:

A.

Joe complied with Standard VI(A) Disclosure of Conflicts.

B.

Joe violated Standard V(B) Communication with Clients and Prospective Clients.

C.

Joe violated Standard III(B) Fair Dealing.

解释:

C is correct.

According to Standard III (B) Fair Dealing, in this case of IPOs, Joe takes the advantage of his position to benefit his firm's senior management and disadvantges clients which violate this standard.

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
1 个答案

Debrah_品职答疑助手 · 2020年11月30日

嗨,从没放弃的小努力你好:


题干中说,BaBa Company is one of these firms which will go public soon. 

one of说明是J的客户之一。


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


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