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一只可爱的猪 · 2020年10月06日

问一道题:NO.PZ2016032801000021 [ CFA I ]

问题如下:

Smith is a financial analyst with XYZ Brokerage Firm. She is preparing a purchase recommendation on JNI Corporation. Which of the following situations is most likely to represent a conflict of interest for Smith that would have to be disclosed?

选项:

A.

Smith frequently purchases items produced by JNI.

B.

XYZ holds for its own account a substantial common stock position in JNI.

C.

Smith’s brother-in-law is a supplier to JNI.

解释:

B is correct.

This question involves Standard VI(A) –Disclosure of Conflicts specifically, the holdings of an analyst’s employer in company stock. Answers A and C do not describe conflicts of interest that Smith would have to disclose. Answer A describes the use of a firm’s products, which would not be a required disclosure. In answer C, the relationship between the analyst and the company through a relative is so tangential that it does not create a conflict of interest necessitating disclosure.

c为什么不行?。。。。。
1 个答案

Debrah_品职答疑助手 · 2020年10月06日

同学你好,这道题问的是哪种情形会产生利益冲突。选项A是说,分析师经常买JHI生产的产品,譬如分析师买Apple的手机,这个不会产生需要披露的利益冲突。C选项是说,分析师的姐夫在JHI公司的供应商工作,譬如分析师的姐夫在富士康工作,也不会影响分析师的独立客观性,也不会产生需要披露的利益冲突。

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NO.PZ2016032801000021 问题如下 Smith is a financianalyst with XYZ Brokerage Firm. She is preparing a purchase recommention on JNI Corporation. Whiof the following situations is most likely to represent a confliof interest for Smith thwoulhave to sclose A.Smith frequently purchases items proceJNI. B.XYZ hol for its own account a substanticommon stoposition in JNI. C.Smith’s brother-in-lis a supplier to JNI. B is correct.This question involves StanrVI(–sclosure of Conflicts — specifically, the holngs of analyst’s employer in company stock. Answers A anC not scriconflicts of interest thSmith woulhave to sclose. Answer A scribes the use of a firm’s procts, whiwoulnot a requiresclosure. In answer the relationship between the analyst anthe company through a relative is so tangentithit es not create a confliof interest necessitating sclosure. 是因为brother-in-l不用披露 还是因为supplier不用披露。。

2024-02-17 23:12 1 · 回答

NO.PZ2016032801000021 这个分析师给客户推介股票同时自己的公司XYZ也持有股票,这会有啥利益冲突。给自己买和客户一样的,不也是一种负责么,说明看好JNI呀,如果JNI的股票跌了,那他自己不也受损了么

2021-10-21 22:33 1 · 回答

NO.PZ2016032801000021 XYZ hol for its own account a substanticommon stoposition in JNI. Smith’s brother-in-lis a supplier to JNI. B is correct. This question involves StanrVI(–sclosure of Conflicts — specifically, the holngs of analyst’s employer in company stock. Answers A anC not scriconflicts of interest thSmith woulhave to sclose. Answer A scribes the use of a firm’s procts, whiwoulnot a requiresclosure. In answer the relationship between the analyst anthe company through a relative is so tangentithit es not create a confliof interest necessitating sclosure.B是公司持有,还是分析师的个人账户持有呢

2021-04-27 21:01 2 · 回答

XYZ hol for its own account a substanticommon stoposition in JNI. Smith’s brother-in-lis a supplier to JNI. B is correct. This question involves StanrVI(–sclosure of Conflicts — specifically, the holngs of analyst’s employer in company stock. Answers A anC not scriconflicts of interest thSmith woulhave to sclose. Answer A scribes the use of a firm’s procts, whiwoulnot a requiresclosure. In answer the relationship between the analyst anthe company through a relative is so tangentithit es not create a confliof interest necessitating sclosure.b能下吗?为啥有利益?

2021-02-03 14:20 1 · 回答

这道题出的不好我觉得c可以选。。。

2021-01-02 12:24 1 · 回答