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