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占庆画 · 2025年04月24日

怎么看出这道题的购买顺序

NO.PZ2024022002000110

问题如下:

David Lee, CFA, a fund manager at a financial company, conducts extensive analysis before purchasing shares of Innovative Tech Solutions (ITS) for all appropriate client portfolios. Subsequently, he acquires ITS stock for his sister's paid account, where Lee has no financial interest. After a downturn in ITS's market value a month later, leading to notable losses for all clients, are Lee's actions in line with the ethical Standards?

选项:

A.Yes B.No, Lee's actions violate the Standard on transaction priority C.No, Lee's actions breach the Standard on diligence and reasonable basis

解释:

Option B is correct. According to Standard VI(B), Priority of Transactions, family accounts that are also client accounts must be treated like any regular client account, without any preferential treatment or disadvantage due to familial ties. If an investment professional has a beneficial interest in such an account, they may need to adhere to additional preclearance or reporting norms set by their employer or law. Therefore, Lee's management of his sister's account, akin to other client accounts, should not have been disadvantaged, indicating a violation of the Standard on transaction priority. Option C is incorrect as Lee's thorough research before investing in ITS stock aligns with the Standard on diligence and reasonable basis.

Subsequently, he acquires ITS stock for his sister's paid account

1 个答案

王暄_品职助教 · 2025年04月25日

Subsequently, he acquires ITS stock for his sister's paid account,通过这句话得知,他先给其他客户买,在给姐姐账户买,违反Priority of Transactions

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NO.PZ2024022002000110问题如下 viLee, CFa funmanager a financicompany, concts extensive analysis before purchasing shares of Innovative TeSolutions (ITS) for all appropriate client portfolios. Subsequently, he acquires ITS stofor his sister's paiaccount, where Lee hno financiinterest. After a wnturn in ITS's market value a month later, leang to notable losses for all clients, are Lee's actions in line with the ethicStanr? A.YesB.No, Lee's actions violate the Stanron transaction priorityC.No, Lee's actions breathe Stanron ligenanreasonable basisOption B is correct. Accorng to StanrVI(B), Priority of Transactions, family accounts thare also client accounts must treatelike any regulclient account, without any preferentitreatment or saantage e to familities. If investment professionha beneficiinterest in suaccount, they mneeto aere to aitionpreclearanor reporting norms set their employer or law. Therefore, Lee's management of his sister's account, akin to other client accounts, shoulnot have been saantage incating a violation of the Stanron transaction priority. Option C is incorreLee's thorough researbefore investing in ITS stoaligns with the Stanron ligenanreasonable basis.Lee hno financiinterest说明没有经济利益,sister是自己的客户,给自己的一个客户做出购买的决策,为什么违反呢?

2024-09-01 17:11 2 · 回答

NO.PZ2024022002000110 问题如下 viLee, CFa funmanager a financicompany, concts extensive analysis before purchasing shares of Innovative TeSolutions (ITS) for all appropriate client portfolios. Subsequently, he acquires ITS stofor his sister's paiaccount, where Lee ha financiinterest. After a wnturn in ITS's market value a month later, leang to notable losses for all clients, are Lee's actions in line with the ethicStanr? A.Yes B.No, Lee's actions violate the Stanron transaction priority C.No, Lee's actions breathe Stanron ligenanreasonable basis Option B is correct. Accorng to StanrVI(B), Priority of Transactions, family accounts thare also client accounts must treatelike any regulclient account, without any preferentitreatment or saantage e to familities. If investment professionha beneficiinterest in suaccount, they mneeto aere to aitionpreclearanor reporting norms set their employer or law. Therefore, Lee's management of his sister's account, akin to other client accounts, shoulnot have been saantage incating a violation of the Stanron transaction priority. Option C is incorreLee's thorough researbefore investing in ITS stoaligns with the Stanron ligenanreasonable basis. 题目中说viha finenciinterest for his sister's paiaccount,那是不是可以视作自己的账户?然后自己的账户后于客户账户购买,符合道德标准,这么想不对么?

2024-05-18 21:02 1 · 回答