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Massa羊羊羊兒🐏🐏🐏 · 2020年11月29日

问一道题:NO.PZ201604030100004404 第4小题 [ CFA II ]

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问题如下:

4. When recommending the purchase of additional Greenhornfood company shares, Voser least likely violates the Standard relating to:

选项:

A.

loyalty to employer.

B.

integrity of capital markets.

C.

diligence and reasonable basis.

解释:

C is correct.

Voser least likely violated the Standard relating to diligence and reasonable basis. Voser initially applied the mosaic theory and had a reasonable basis for the trade as required by Standard V(A). Eventually, she came into possession of material nonpublic information (corporate logo on a document, overheard conversation). According to Standard II(A), once in possession of material nonpublic information, she is prohibited from acting or causing others to act. Voser also violated her duty of loyalty to her employer, Standard IV(A), by encouraging others to trade in Greenhornfood and possibly harming Crawfood’s attempts to acquire the smaller company at an attractive price.

他的妹妹都不是他的client吧,只是这个分析师看到这个股票好,所以两次推荐给了他妹妹加仓,所以不管怎样他都不违反diligence&reasonable?
2 个答案
已采纳答案

Debrah_品职答疑助手 · 2020年11月30日

嗨,努力学习的PZer你好:


Integrity of Capital Market是准则的第二条,下面包含两个点,II(A)是MNI,II(B)是市场操控。

题目问:在purchase of additional shares(加仓)的时候,最不可能违反哪个准则。

在这个案例里,voser鼓励他的sisiter加仓,是基于他在老板的办公室看到的标的公司的logo,以及听到的标的公司的名字。第一段提供了信息,Crawfood这家PE company本身就是从事并购业务的,历史上也进行了多起成功的业务。与并购相关的信息,属于Material Information。而且目前非公开,所以属于MNI。

这就要求CFA成员自己不能使用MNI,也不能让他人使用,这里显然是违背了准则Integrity of Capital Market。

C选项没有违反,因为Voser对这家公司进行了深入分析。


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努力的时光都是限量版,加油!


笑笑和啦啦 · 2021年05月23日

老师你好,为什么违反了第一条loyalty to employer呢? 学谢谢老师

王暄_品职助教 · 2021年05月23日

老师你好,为什么违反了第一条loyalty to employer呢? 学谢谢老师

请看下图划线部分,她明显看见了桌面上的logo可以确定要收购的就是这家公司,所以这属于公司机密,她利用了公司的机密帮助sister交易,违反对雇主的忠诚。

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NO.PZ201604030100004404 问题如下 4. When recommenng the purchase of aitionGreenhornfoocompany shares, Voser least likely violates the Stanrrelating to: A.loyalty to employer. B.integrity of capitmarkets. C.ligenanreasonable basis. C is correct.Voser least likely violatethe Stanrrelating to ligenanreasonable basis. Voser initially appliethe mosaic theory anha reasonable basis for the tra requireStanrV(A). Eventually, she came into possession of materinonpublic information (corporate logo on a cument, overhearconversation). Accorng to StanrII(A), onin possession of materinonpublic information, she is prohibitefrom acting or causing others to act. Voser also violateher ty of loyalty to her employer, StanrIV(A), encouraging others to tra in Greenhornfooanpossibly harming Crawfoos attempts to acquire the smaller company attractive price. 老师,请教下1、重大非公开信息有一点事信息来源可靠,Voser看到老板办公桌上有一个文件上面有Green公司logo,听到别人说公司名字,但题目没有说他看到文件内容或听到对话内容,这个是不是有点不可靠呀?这纯粹啥实质性信息也没听见,全靠自己联想呀。这个不可靠的信息+之前看新闻得到的公开信息,是不是更像马赛克理论呢?2、麻烦老师讲解下,什么情况就能算信息来源可靠了呢?我记得经典题讲到过一个案例,是一个人看到两个公司高管吃饭,结合一些公开信息,推断出两家公司合并,这个就属于是马赛克理论,是不违反道德的。

2024-08-24 21:32 1 · 回答

integrity of capitmarkets. ligenanreasonable basis. C is correct. Voser least likely violatethe Stanrrelating to ligenanreasonable basis. Voser initially appliethe mosaic theory anha reasonable basis for the tra requireStanrV(A). Eventually, she came into possession of materinonpublic information (corporate logo on a cument, overhearconversation). Accorng to StanrII(A), onin possession of materinonpublic information, she is prohibitefrom acting or causing others to act. Voser also violateher ty of loyalty to her employer, StanrIV(A), encouraging others to tra in Greenhornfooanpossibly harming Crawfoos attempts to acquire the smaller company attractive price. 我就想知道B是为什么

2020-11-13 22:56 1 · 回答

    这道题不是因为 Voser得到了MNI from    supervisor所以才建议 加投的吗?她也没有做reasonable  research呀?

2019-05-01 02:46 1 · 回答

    老师,c错在哪里呢

2019-03-31 21:19 1 · 回答