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苏·Xu · 2025年01月27日

道德

NO.PZ2024022002000038

问题如下:

Justin Blake, CFA, a retired investment professional, owns significant shares in a minor publicly-traded company. Concerned about its future, he writes encouraging online messages to spur purchases of the stock. Which CFA Institute Standards has Blake likely breached?

选项:

A.Both Integrity of Capital Markets and Conflicts of Interest

B.Only Integrity of Capital Markets

C.Neither Integrity of Capital Markets nor Conflicts of Interest

解释:

Option B is correct. Blake's actions contravene the Integrity of Capital Markets standard by potentially manipulating market activity, aligning with Standard II(B). However, there's no violation of the Conflicts of Interest standard as it necessitates disclosure in professional relationships, which isn't the case here.

他都拥有大量shares,不存在利益冲突吗?


此外再问一句:handbook的道德题有做的价值吗?题目看着都很别扭

1 个答案

王暄_品职助教 · 2025年01月27日

在这个案例中,Blake拥有大量股份并不直接构成利益冲突,因为利益冲突通常指的是在专业服务中,个人或机构的利益与客户或雇主的利益相冲突。这里Blake并不是以专业投资顾问或经理的身份行事,而是作为股东发表意见。因此,他的行为主要违反了资本市场诚信原则,而不是利益冲突原则。


如果时间来不及可以不做,优先原版书课后题

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