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欢欢 · 2022年01月08日

没太懂这题违反什么客户利益了?

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.

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。

1 个答案
已采纳答案

王暄_品职助教 · 2022年01月08日

因为Joe在给Baba做上市,并提前把Baba的股份分给了高管。

而Baba一旦上市之后,Joe自己的客户必然也要买他家的股票,此时高管们已经提前低价拿到了股票,所以其实已经抬高了股价了(因为Joe已经提前买入10%了给高管了,一定会太高股价的),所以伤害了客户的利益。

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