开发者:上海品职教育科技有限公司 隐私政策详情

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chyje2007 · 2018年09月09日

问一道题:NO.PZ2016032801000004 [ CFA I ]

问题如下图:

选项:

A.

B.

C.

解释:

根据答案解释b也是错的呀?

1 个答案

品职辅导员_小明 · 2018年09月11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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