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Dang.D · 2021年10月12日

问一道题:NO.PZ2018062009000037 [ CFA II ]

问题如下:

Madeline, senior management of Good Manufactory Company, attended a class reunion yesterday. Her deskmate, Jodie, is a fund manager of a local big investment company. Madeline got drunk and rolfed dinner, she was very happy with Jodie and said that, "our company will make a big announcement about new products next week and market shares will increase, I will be promoted!." The next day, Jodie purchased Good Manufactory Company’s stock in her personal account. Judie:

选项:

A.

violated the Code and Standards II(A)-Material Nonpublic Information.

B.

violated the Code and Standards III(B)-Fair dealing.

C.

did not violate the Code and Standards.

解释:

A is correct.

Madeline was a senior management of Good Manufactory Company, so the information source was reliable, and making big announcement about new products was material information because the company’s market shares would increase. Jodie used non-public material information to purchase stock which violated the Code and Standards II(A) Material Nonpublic Information.

Madeline是Good Manufactory这家公司的高管,所以信息来源可靠,且做出关于新产品的宣布属于重要信息因为这会影响公司的股价。Jodie就是利用了重大非公开信息去做交易,因此违反了准则II(A)。

请问为啥不选b,感觉b也违法了。他先给自己的账户了的。 是因为没提到他客户账户的相关信息吗

1 个答案
已采纳答案

王暄_品职助教 · 2021年10月13日

这件事情最直接违反了内幕信息,然后根据你的思路,其实是有违反priority of transaction的嫌疑。

并且,Fair Dealing是对客户的不公平,比如先给客户A买了,然后隔了一天才给客户B买,这个叫做违反Fair dealing

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