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绿水精灵 · 2025年02月09日

No.PZ2024022002000047

请问老师,此题何处体现fair dealing和material non-publich information? 能否解释下此题?学科风暴中的这题看着有点晕,不理解。谢谢!


Alex Thompson, CFA, serving as Director of Growth at Global Asset Management (GAM), a prominent mutual fund company in the US, faces intense pressure to boost company earnings. To win a deal with a major hedge fund client in Asia, Thompson recently sanctioned special conditions in the client contract. The terms allow this hedge fund to conduct trades in GAM’s mutual funds six hours post the closure of the US markets, a practice forbidden by US regulations. Has Thompson breached any CFA Institute Standards of Professional Conduct?

 

B

Yes, pertaining to fair dealing

C

Yes, concerning both fair dealing and material nonpublic information

1 个答案

王暄_品职助教 · 2025年02月09日

Fair Dealing:

Thompson为特定的对冲基金客户提供了特殊的交易条件,允许他们在美国市场关闭后六小时仍可进行交易。这种特殊待遇违反了fair dealing,因为其他客户并没有获得同样的交易机会。

Material Nonpublic Information:

允许特定客户在市场关闭后交易,可能为他们提供了利用未公开信息(如市场收盘后的新闻或数据)的机会,从而获取不正当的交易优势。这违反了material nonpublic information。


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