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咖啡巧克力 · 2024年10月12日

magazine

NO.PZ2024022002000041

问题如下:

Rachel Coursing, CFA, at PNW Bank, actively trades stocks highlighted in the upcoming issues of 'Investment Monthly' magazine, which she oversees, gaining from the subsequent price increases. Given PNW's trading policies and ethical standards, which CFA Institute Standard is Coursing least likely to have infringed?

选项:

A.Ensuring client transactions take precedence

B.Conducting thorough and justified analysis

C.Trading on insider information

解释:

Option B is correct. Coursing's actions do not breach the standard related to investment analysis (Standard V), as her role does not involve analyzing or recommending investments for clients. However, she did violate the standards regarding transaction priority (Standard VI(B)) and using nonpublic information (Standard II(A)) for personal gain.

怎样判断monthly investment magazine是内部信息?

1 个答案

王暄_品职助教 · 2024年10月12日

因为文中说了这是“ upcoming issues”,即将发生的,也就是说这个杂志并没有发布