开发者:上海品职教育科技有限公司 隐私政策详情

应用版本:4.2.11(IOS)|3.2.5(安卓)APP下载

Dang.D · 2021年10月21日

想问一下B选项

NO.PZ2016032801000021

问题如下:

Smith is a financial analyst with XYZ Brokerage Firm. She is preparing a purchase recommendation on JNI Corporation. Which of the following situations is most likely to represent a conflict of interest for Smith that would have to be disclosed?

选项:

A.

Smith frequently purchases items produced by JNI.

B.

XYZ holds for its own account a substantial common stock position in JNI.

C.

Smith’s brother-in-law is a supplier to JNI.

解释:

B is correct.

This question involves Standard VI(A) –Disclosure of Conflicts specifically, the holdings of an analyst’s employer in company stock. Answers A and C do not describe conflicts of interest that Smith would have to disclose. Answer A describes the use of a firm’s products, which would not be a required disclosure. In answer C, the relationship between the analyst and the company through a relative is so tangential that it does not create a conflict of interest necessitating disclosure.

这个分析师给客户推介股票同时自己的公司XYZ也持有股票,这会有啥利益冲突。给自己买和客户一样的,不也是一种负责么,说明看好JNI呀,如果JNI的股票跌了,那他自己不也受损了么

1 个答案
已采纳答案

王暄_品职助教 · 2021年10月22日

S自己的个人账户了,购买了大量的JNI公司的股票—>这会产生利益冲突,如果Smith写了买入的投资建议给广大投资者,事后被人发现了他自己本身持有大量JNI公司的股票,会引起别人的怀疑,所以要披露

  • 1

    回答
  • 1

    关注
  • 772

    浏览
相关问题

NO.PZ2016032801000021 问题如下 Smith is a financianalyst with XYZ Brokerage Firm. She is preparing a purchase recommention on JNI Corporation. Whiof the following situations is most likely to represent a confliof interest for Smith thwoulhave to sclose A.Smith frequently purchases items proceJNI. B.XYZ hol for its own account a substanticommon stoposition in JNI. C.Smith’s brother-in-lis a supplier to JNI. B is correct.This question involves StanrVI(–sclosure of Conflicts — specifically, the holngs of analyst’s employer in company stock. Answers A anC not scriconflicts of interest thSmith woulhave to sclose. Answer A scribes the use of a firm’s procts, whiwoulnot a requiresclosure. In answer the relationship between the analyst anthe company through a relative is so tangentithit es not create a confliof interest necessitating sclosure. 是因为brother-in-l不用披露 还是因为supplier不用披露。。

2024-02-17 23:12 1 · 回答

NO.PZ2016032801000021 XYZ hol for its own account a substanticommon stoposition in JNI. Smith’s brother-in-lis a supplier to JNI. B is correct. This question involves StanrVI(–sclosure of Conflicts — specifically, the holngs of analyst’s employer in company stock. Answers A anC not scriconflicts of interest thSmith woulhave to sclose. Answer A scribes the use of a firm’s procts, whiwoulnot a requiresclosure. In answer the relationship between the analyst anthe company through a relative is so tangentithit es not create a confliof interest necessitating sclosure.B是公司持有,还是分析师的个人账户持有呢

2021-04-27 21:01 2 · 回答

XYZ hol for its own account a substanticommon stoposition in JNI. Smith’s brother-in-lis a supplier to JNI. B is correct. This question involves StanrVI(–sclosure of Conflicts — specifically, the holngs of analyst’s employer in company stock. Answers A anC not scriconflicts of interest thSmith woulhave to sclose. Answer A scribes the use of a firm’s procts, whiwoulnot a requiresclosure. In answer the relationship between the analyst anthe company through a relative is so tangentithit es not create a confliof interest necessitating sclosure.b能下吗?为啥有利益?

2021-02-03 14:20 1 · 回答

这道题出的不好我觉得c可以选。。。

2021-01-02 12:24 1 · 回答