NO.PZ2024022002000109
问题如下:
In compliance with the Standard on conflict of interest disclosure, what are buy-side analysts expected to reveal to their clients?选项:
A.Their personal stakes in any financial instrument. B.The internal protocols of their organization for documenting personal trade activities. C.The company guidelines on trading suspension intervals in which the analyst is barred from conducting trades on behalf of clients.解释:
Option B is correct. As per Standard VI(A), Disclosure of Conflicts, it is imperative for buy-side analysts to inform clients about their company's procedures related to the logging of personal trading activities. This is essential to manage conflicts that might arise from personal investments. Option A is incorrect as there is no mandate to disclose personal security ownership under this standard. Option C is also incorrect because blackout periods, as defined in Standard VI(B), Priority of Transactions, are established to prevent potential conflicts like front-running, not necessarily to restrict client trading activities.C是说有段时间分析师没办法为客户做交易吗?那这段时间的设置又如何能防止分析师提前顾客做交易呢