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Ivy1917 · 2025年04月21日

可以解释一下这道题目么

NO.PZ2025041601000005

问题如下:

Petra Maybolk, CFA, works for a large investment firm where she oversees a team of market makers. Maybolk's firm has just taken a small issuer public and is a market maker in the issuer's stock. After receiving material nonpublic information about the small issuer, Maybolk instructs her subordinates to continue market-making activities for the small issuer and to take only the contra side of unsolicited customer trades in the stock.Question

Did Maybolk's actions violate the Standards?

选项:

A.A.No

B.B.Yes, because Maybolk instructs her subordinates to continue market-making activities for the small issuer

C.C.Yes, because Maybolk instructs her firm's market maker to only take the contra side of unsolicited customer trades in the small issuer's stock

解释:

  • demonstrate a thorough knowledge of the CFA Institute Code of Ethics and Standards of Professional Conduct by applying the Code and Standards to specific situations

不是很理解这道题目,可以解释一下么

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