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alexissmiles · 2017年03月31日

问一道题:NO.PZ2016040301000023 [ CFA II ]

问题如下图:

    

选项:

A.

B.

C.

什么时候broker把一家公司放在restricted list里面?

是与投行部门有业务关联时还是只有当研究所知道了投行部门发的内幕信息时?

如果和投行部门有业务联系时,是不是只要披露给客户就可以继续写研究报告而不放在restricted list里面了?

1 个答案

maggie_品职助教 · 2017年04月01日

公司在监视员工个人交易时,对拥有内幕信息的股票,应当拖入限制性清单。

这道题最好的处理方法就是交易部门和投行部门划清界限,设立防火墙。


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2020-10-08 01:19 1 · 回答

    A为什么不可以?A可以一劳永逸

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