NO.PZ2024022002000130
问题如下:
David Lee, CFA, a fund manager at a finance company, conducts extensive research and subsequently invests in Delta Tech Corp (DTC) stocks for all applicable clients. Following this, he acquires DTC stocks for his sister's account, over which Lee has beneficial interest. One month later, DTC's share price plummets, leading to significant losses for his clients. Did Lee's actions align with the Standards?选项:
A.Yes B.No, Lee's actions are inconsistent with the Standard on transaction prioritization C.No, Lee's actions are inconsistent with the Standard on diligence and sound judgement解释:
Option B is correct as per Standard VI(B), Priority of Transactions. Accounts of family members who are clients must be treated as any other client account, without preferential treatment or disadvantage due to the familial tie. Lee should have managed his sister's account as any other client account without any disadvantage.如题