NO.PZ2018062009000026
问题如下:
Smith, a portfolio manager, is planning to sell part of his personal portfolio to pay for his children’s medical charges. Smith wants to sell some of his shares of Company M, but his company puts the "strong buy" recommendation of the stock recently. Which of the followings most likely describes Smith's choices under Code and Standards?
选项:
A.Smith can only sell his personal shares when the company's clients place an order to buy shares of Company M.
B.Smith is free to sell his personal shares after informing his company of his intentions.
C.Smith could not sell these shares because of his company's "buy" recommendation.
解释:
B is correct.
Standard VI(B) Priority of Transactions does not ban transactions in which the company’s employees are different from the current proposal, as long as sales are not detrimental to the current clients.
准则VI(B)并不禁止员工私人账户的交易与公司当前的建议相反,只要员工私人账户没有先于客户账户交易即可。
如果公司发布的是卖,那他即使很着急给孩子看病或者付学费,是不是也必须等到客户卖完,自己才能卖啊?