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Pina · 2020年09月27日

问一道题:NO.PZ2016032802000019

问题如下:

Mila Griy, CFA, an analyst in Deal Capital. Her child will study abroad next week which makes her sell all shares of her stock on Seven Company of her personal account to raise money. But recently, her company just recommends "buy" on Seven Company's stock. Does her action violate the Code and Standards?

选项:

A.

Yes, because she cannot do the transactions which is contrary to company's recommendations.

B.

No, because she cannot hold the same stock which her company recommends.

C.

No, because she can sell the stock of her personal account in this case.

解释:

C is correct.

According to the Code and Standards, Mila can sell the stock in her personal account in this case which does not disadvantage clients, benefit personally from client trades, or violate the regulations applied.

老师好 如果这题公司推荐sell 的话, 是否女主要披露后才能sell?谢谢。

1 个答案
已采纳答案

王暄_品职助教 · 2020年09月28日

嗨,从没放弃的小努力你好:


不需要,她可以自己买卖自己手持的股票,只要不违反交易规则就行(比如要在客户卖了后,自己再卖)


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