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ANGELEYES7 · 2018年09月24日

问一道题:NO.PZ2016032801000004 [ CFA I ]

问题如下图:

选项:这个问题貌似没有讲到呢?能不能详细解释一下?谢谢

A.

B.

C.

解释:

1 个答案
已采纳答案

品职辅导员_小明 · 2018年09月28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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NO.PZ2016032801000004问题如下Whiof the following statements clearly conflicts with the recommenproceres for complianpresentein the CFA Institute Stanr of PractiHanook?A.Firms shoulsclose to clients the personinvesting policies anproceres establishefor their employees.B.Prior approvmust obtainefor the personinvestment transactions of all employees.C.For confintiality reasons, persontransactions anholngs shoulnot reporteto employers unless manteregulatory organizations.C is correct.This question asks about complianproceres relating to personinvestments of members ancantes. The statement in answer C clearly conflicts with the recommenproceres in the Stanr of PractiHanook. Employers shoulcompare persontransactions of employees with those of clients on a regulbasis regaress of the existenof a requirement any regulatory organization. Sucomparisons ensure themployees’ persontras not confliwith their ty to their clients, anthe comparisons cconctein a confintimanner. The statement in answer A es not confliwith the proceres in the Hanook. sclosure of supolicies will give full information to clients regarng potenticonflicts of interest on the part of those entrusteto manage their money. Answer B is incorrebecause firms are encourageto establish policies whereemployees cletheir personholngs antransactions with their employers. 金融人员炒股不是会定期向公司披露吗?还需要事先审批吗?审批的意思是同意炒股这种行为,还是买某只具体股票时候要审批?还是买某只有利益冲突的股票需要审批?

2024-06-12 11:40 1 · 回答

NO.PZ2016032801000004问题如下 Whiof the following statements clearly conflicts with the recommenproceres for complianpresentein the CFA Institute Stanr of PractiHanook?A.Firms shoulsclose to clients the personinvesting policies anproceres establishefor their employees.B.Prior approvmust obtainefor the personinvestment transactions of all employees.C.For confintiality reasons, persontransactions anholngs shoulnot reporteto employers unless manteregulatory organizations.C is correct.This question asks about complianproceres relating to personinvestments of members ancantes. The statement in answer C clearly conflicts with the recommenproceres in the Stanr of PractiHanook. Employers shoulcompare persontransactions of employees with those of clients on a regulbasis regaress of the existenof a requirement any regulatory organization. Sucomparisons ensure themployees’ persontras not confliwith their ty to their clients, anthe comparisons cconctein a confintimanner. The statement in answer A es not confliwith the proceres in the Hanook. sclosure of supolicies will give full information to clients regarng potenticonflicts of interest on the part of those entrusteto manage their money. Answer B is incorrebecause firms are encourageto establish policies whereemployees cletheir personholngs antransactions with their employers. 记一下翻译,不需要回答,谢谢

2023-06-29 22:59 1 · 回答

在准则中有规定,个人的投资也要披露吗?难道私人投资策略不是隐私吗 A怎么理解?

2020-03-05 08:57 1 · 回答

老师你好,可否下A和C,谢谢!    

2018-10-07 14:30 1 · 回答