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liutiegang · 2020年10月14日

问一道题：NO.PZ201604030300004606 第6小题 [ CFA III ]

  1. CFA III
  2. Ethics

* 问题详情，请 查看题干

问题如下：

6. When shorting Tefla stock, does Garcia violate any CFA Institute Standards?

选项：

A.

No.

B.

Yes, because he does not have a reasonable basis for the trade.

C.

Yes, because he is in possession of material nonpublic information.

解释：

C is correct.

Garcia is in possession of material nonpublic information and acted on it in violation of Standard II(A). After the analyst’s recommendation has been issued and/or distributed publicly, Garcia would be free to make the trade. Because this is a personal purchase, the standard relating to diligence and reasonable basis is not applicable.

老师，那个squawk box该怎么理解，里面提到的信息不算是公开信息？
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1 个答案

王暄_品职助教 · 2020年10月15日

嗨，从没放弃的小努力你好：


这题是原版书reading 3的课后题，我们已经准备好了课程，这两天就会将道德部分的课后题视频上线，请同学再等待一下哦，很快就上~

课程会解释的更加清晰，如听后还有疑问，就再来有问必答提问即可


-------------------------------
虽然现在很辛苦，但努力过的感觉真的很好，加油！


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NO.PZ201604030300004606 问题如下 6. When shorting Tefla stock, es Garcia violate any CFA Institute Stanr? A.No. B.Yes, because he es not have a reasonable basis for the tra. C.Yes, because he is in possession of materinonpublic information. C is correct.Garcia is in possession of materinonpublic information anacteon it in violation of StanrII(A). After the analyst’s recommention hbeen issueanor stributepublicly, Garcia woulfree to make the tra. Because this is a personpurchase, the stanrrelating to ligenanreasonable basis is not applicable. Garcia一听说要wngra T公司的同类企业，immeately去卖掉了T公司，根本没有足够的时间去思考对同类企业的wngra到底是因为整个行业不景气还是因为那家企业自身的问题，就直接去short T公司了。这难道不是缺乏依据吗？

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2021-11-12 13:14 1 · 回答

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2021-03-27 04:02 1 · 回答