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广超 · 2021年10月20日

老师可以解释一下题干么?

NO.PZ2016032802000041

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.

没明白ba公司和他正在工作的准备上市的ai公司有什么关系?为什么违反了fair dealing?
1 个答案

王暄_品职助教 · 2021年10月20日

Jack在ABC银行上班,而ABC银行的投行部门正在为Baba公司的上市做准备,而Jack在其上市前,提前为Senior们买入股票,即违反内幕信息,也违反fair dealing。

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NO.PZ2016032802000041 问题如下 Joe, CFworks for the IPO of misizeArtificiIntelligenfirms Ainvestment bank. BaCompany is one of these firms whiwill go public soon. Joe stribute10% of the shares of BaCompany to senior management in his firm before it goes publiRegarng this action, whiof the following statements is most accurate? A.Joe compliewith StanrVI(sclosure of Conflicts. B.Joe violateStanrV(Communication with Clients anProspective Clients. C.Joe violateStanrIII(Fair aling. C is correct.Accorng to StanrIII (Fair aling, in this case of IPOs, Joe takes the aantage of his position to benefit his firm's senior management ansaantges clients whiviolate this stanr B错在了那里?

2022-10-18 04:14 1 · 回答

NO.PZ2016032802000041 baba是他的客户又怎么样呢。他只是把baba公司的股份给了一些给高管,违反内幕交易是肯定的,但是哪里违法了他客户的利益呢。

2022-01-08 11:11 1 · 回答

Joe violateStanrV(Communication with Clients anProspective Clients. Joe violateStanrIII(Fair aling. C is correct. Accorng to StanrIII (Fair aling, in this case of IPOs, Joe takes the aantage of his position to benefit his firm's senior management ansaantges clients whiviolate this stanr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

2020-11-28 20:32 1 · 回答

Joe violateStanrV(Communication with Clients anProspective Clients. Joe violateStanrIII(Fair aling. C is correct. Accorng to StanrIII (Fair aling, in this case of IPOs, Joe takes the aantage of his position to benefit his firm's senior management ansaantges clients whiviolate this stanr老师,这题怎么看出公司高管也是他的客户?

2020-10-31 18:09 1 · 回答