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little_back · 2021年07月02日

为什么员工投资自己账户的时候需要公司同意？

  1. CFA III
  2. Ethics

NO.PZ2016040303000004

问题如下：

Which of the following statements clearly conflicts with the recommended procedures for compliance presented in the CFA Institute Standards of Practice Handbook?

选项：

A.

Firms should disclose to clients the personal investing policies and procedures established for their employees.

B.

Prior approval must be obtained for the personal investment transactions of all employees.

C.

For confidentiality reasons, personal transactions and holdings should not be reported to employers unless mandated by regulatory organizations.

解释：

C  is correct.

This question asks about compliance procedures relating to personal investments of members and candidates. The statement in answer C clearly conflicts with the recommended procedures in the Standards of Practice Handbook. Employers should compare personal transactions of employees with those of clients on a regular basis regardless of the existence of a requirement by any regulatory organization. Such comparisons ensure that employees’ personal trades do not conflict with their duty to their clients, and the comparisons can be conducted in a confidential manner. The statement in answer A does not conflict with the procedures in the Handbook. Disclosure of such policies will give full information to clients regarding potential conflicts of interest on the part of those entrusted to manage their money. Answer B is incorrect because firms are encouraged to establish policies whereby employees clear their personal holdings and transactions with their employers.

为什么员工投资自己账户的时候需要公司同意？
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已采纳答案

王暄_品职助教 · 2021年07月03日

因为做为公司基金经理，你很容易知道自己接下来要给客户投资哪只股票；在股票市场，一旦又大量资金流入，股票必涨。所以基金经理可以在帮客户做投资之前，事先自己先给自己的私人账户买入相同的股票，再给客户买，那么自己买入的股票一定会涨。

所以公司需要定期查看员工股票账户交易记录，以防这种老鼠仓。

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