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Flying马 · 2024年10月28日

请解答

NO.PZ2016032802000037

问题如下:

Kland, a country on an island, which allows the use of nonpublic information. Smith has a close friend, Johnson, who is CFA charterholder. Smith shared nonpublic information about several firms' earnings and M&A outside his industry with Johnson. Regarding this information, which of the following statements is most correct about Johnson's action?

选项:

A.

Johnson can trade on the information because the information has no relationship with Smith's industry.

B.

Johnson cannot trade on the information according to the Code and Standards of CFA Insititute.

C.

Johnson can trade on the nonpublic information which is allowed by the Kland's laws.

解释:

B is correct.

According to the Standard II(A) Material Non-public Information, although Kland allows the use of nonpublic information, as a CFA Charterholder, Johnson's behavior is governed by the Code and Standards of CFA Institute. This standard forbids the use of material nonpublic information, so Johnson cannot trade on the information shared by Smith.

所以 这种没提及身份职位   但是出现了earning、M&A关键词的题     都默认为是选 违法code?

1 个答案

王暄_品职助教 · 2024年10月29日

不太理解您的意思,我给您解释一下本题

Johnson作为CFA持证人,在接收到来自其好友Smith的非公开信息后,应该如何行动。本题主要想考I(A)这个条款,这条款要求CFA持证人遵守更为严格的法律法规,尽管他所在地区允许内幕交易,但是CFA准则是禁止的,因此,作为CFA持证人,应该遵守更为严格的CFA道德准则,Johnson不能使用这些信息进行交易。



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NO.PZ2016032802000037 问题如下 Klan a country on islan whiallows the use of nonpublic information. Smith ha close frien Johnson, who is CFA charterholr. Smith sharenonpublic information about severfirms' earnings anM A outsi his instry with Johnson. Regarng this information, whiof the following statements is most correabout Johnson's action? A.Johnson ctra on the information because the information hno relationship with Smith's instry. B.Johnson cannot tra on the information accorng to the Co anStanr of CFA Insititute. C.Johnson ctra on the nonpublic information whiis allowethe Klans laws. B is correct.Accorng to the StanrII(MateriNon-public Information, although Klanallows the use of nonpublic information, a CFA Charterholr, Johnson's behavior is governethe Co anStanr of CFA Institute. This stanrforbi the use of materinonpublic information, so Johnson cannot tra on the information shareSmith. 并没有发现信息是否是material的证据,单纯探讨一下哈。

2024-08-05 13:16 1 · 回答

NO.PZ2016032802000037问题如下Klan a country on islan whiallows the use of nonpublic information. Smith ha close frien Johnson, who is CFA charterholr. Smith sharenonpublic information about severfirms' earnings anM A outsi his instry with Johnson. Regarng this information, whiof the following statements is most correabout Johnson's action?A.Johnson ctra on the information because the information hno relationship with Smith's instry.B.Johnson cannot tra on the information accorng to the Co anStanr of CFA Insititute.C.Johnson ctra on the nonpublic information whiis allowethe Klans laws.B is correct.Accorng to the StanrII(MateriNon-public Information, although Klanallows the use of nonpublic information, a CFA Charterholr, Johnson's behavior is governethe Co anStanr of CFA Institute. This stanrforbi the use of materinonpublic information, so Johnson cannot tra on the information shareSmith.到底是当地法律更严格还是CFA协会准则更严格啊😭好多题做下来我的记忆都不一样

2024-07-21 20:39 1 · 回答

NO.PZ2016032802000037 老师,这道题哪里提到或者证明了消息的reliable呢

2021-12-26 23:13 1 · 回答

    Smith透露的消息并不是他所在的行业内的,那么这个消息就不是reliable的,不算materinonpublic info吧

2019-12-06 11:27 1 · 回答