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让我爱你 · 2021年03月27日

No.PZ201604030300004601

  1. CFA III
  2. Ethics

* 问题详情，请 查看题干

NO.PZ201604030300004606

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.

答案的解释中指出是personal purchase，哪里有写是personal purchase呢？

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1 个答案

王暄_品职助教 · 2021年03月27日

通过上下文，我们可以看的出他是偷听Omgea公司研究员的结果的从而为自己的投资进行交易。下可以从下图看出他的收入不高，并且对投资感兴趣，所以肯定是为自己的账户做的交易。

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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？

2023-01-18 19:55 2 · 回答

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.上一题说不是用内幕信息交易，那这题不也可以说没够利用内幕信息交易码？他是在用类企业基础上分析而来的

2022-12-21 10:16 1 · 回答

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.1、这题与上一题有没有联系？这题的信息没有说他偷听分析师，只是说分析师下调之后卖出，没有偷听的意思。有也是上题的内容里说的2、如果算偷听，当然算违反mni，但是c的理由写的是possess，老师强调possess不违反，那c的理由写的也不对

2022-07-27 18:55 1 · 回答

NO.PZ201604030300004606 Yes, because he es not have a reasonable basis for the tra. 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.他short同一個行業的 也是aon non public info 嗎 這有點勉強？

2021-11-12 13:14 1 · 回答