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LJ馨 · 2025年05月12日

这题如果有两个都不违反的选项,能选么?因为并没有说这个人要“incentive market activity ”的目的

NO.PZ2025041601000006

问题如下:

Julia Anderson, CFA, a trader, notices a decline in liquidity of Stock 1. She starts buying and selling Stock 1 to incentivize market activity in the stock. Anderson also notices that Stock 2 trades at different prices in two different exchanges, and starts buying and selling Stock 2 to exploit the price difference. Anderson has violated the Standard(s) by trading:Question

选项:

A.A.Stock 1 only. B.B.Stock 2 only. C.C.both Stock 1 and Stock 2.

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

Julia Anderson, CFA, a trader, notices a decline in liquidity of Stock 1. She starts buying and selling Stock 1 to incentivize market activity in the stock. Anderson also notices that Stock 2 trades at different prices in two different exchanges, and starts buying and selling Stock 2 to exploit the price difference. Anderson has violated the Standard(s) by trading:Question

您的回答A, 正确答案是: A

A

正确A.Stock 1 only.

B

B.Stock 2 only.

C

C.both Stock 1 and Stock 2.

1 个答案

王暄_品职助教 · 2025年05月12日

这句话说呀了:She starts buying and selling Stock 1 to incentivize market activity in the stock.

这就说明她想虚增Stock 1的交易量,这个行为可能误导其他投资者,有操纵市场的意图。

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