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ciaoyy · 2018年03月22日

问一道题:NO.PZ2016032801000004 [ CFA I ]

问题如下图:

    

选项:

A.

B.

C.

解释:


为什么B是准则要求的呢?不是说金融业从业人员是可以炒股的吗?为什么要得到approval才能进行交易呢?

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韩韩_品职助教 · 2018年03月27日

金融人员是可以炒股的,但是必须得到approval才能进行交易,主要有这么几个原因这样可以避免潜在的利益冲突,比如金融从业人员,在公司为客户买入某只股票之前先进行购买,当公司的大单交易成交时,会推高股票,金融人员从中获利。

这一条的具体内容在VI(B)中recommended Procedure 里面reporting requirments底下。

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