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yewei1989 · 2021年10月22日

选项b后半句是什么意思

NO.PZ2016040303000026

问题如下:

Rose, a portfolio manager for a local investment advisory firm, is planning to sell a portion of his personal investment portfolio to cover the costs of his child’s academic tuition. Rose wants to sell a portion of his holdings in Household Products, but his firm recently upgraded the stock to "strong buy." Which of the following describes Rose’s options under the Code and Standards?

选项:

A.

Based on his firm’s "buy" recommendation, Rose cannot sell the shares because he would be improperly prospering from the inflated recommendation.

B.

Rose is free to sell his personal holdings once his firm is properly informed of his intentions.

C.

Rose can sell his personal holdings but only when a client of the firm places an order to buy shares of Household.

解释:

B is correct.

Standard VI(B) –Priority of Transactions does not limit transactions of company employees that differ from current recommendations as long as the sale does not disadvantage current clients. Thus, answer A is incorrect. Answer C is incorrect because the Standard does not require the matching of personal and client trades.

后半句是什么意思?once his firm inform of hisintention

1 个答案

王暄_品职助教 · 2021年10月23日

Rose is free to sell his personal holdings once his firm is properly informed of his intentions.

当他的公司同意他的想法时,Rose可以在他的个人账户内卖掉持仓。