請(qǐng)問教材中Standards and Practice Handbook具體指的是什么,以及其中包括什么?
馬賽克理論是:非重大非公開信息可以利用。那為什么解題思路都是圍繞只要是利用公開信息,就是符合馬賽克理論的,就是不違規(guī)的?謝謝
Q26如果什么都不做好像對(duì)客戶利益會(huì)造成損失不算違反了3A么
請(qǐng)問Standard VII (A) case 4 comment 中的 CBOK 是什么?
請(qǐng)教老師: 1.non-compete agreement 和 non-solicitation agreement是什么關(guān)系?相同?不同?包含? 2. 如果簽了non-solicitation agreement, 這位同學(xué)不主動(dòng)去solicitate any former client, 但是可以在自己的social media 上 宣布自己開了新公司嗎?可以宣布新公司,并且歡迎大家來投嗎?整個(gè)過程中不會(huì)涉及到任何具體的個(gè)人名字,ect.
商業(yè)間諜違反倫理道德么?我是指,研究部門或者投資銀行部門為了獲取被研究機(jī)構(gòu)的內(nèi)部信息而派出員工進(jìn)入被研究公司
27題整個(gè)沒看懂,特別是第6行往后
公開信息不是可以不引用嗎?
想請(qǐng)問一下本題所指的九大sections是哪些呢
Jennifer Ducumon, CFA, is a portfolio manager for high-net-worth individu?als at Northeast Investment Bank. Northeast holds a large number of shares in Babyskin Care Inc., a manufacturer of baby care products. Northeast obtained the Babyskin shares when they underwrote the company’s recent IPO. Ducumon has been asked by the investment banking department to recommend Babyskin to her clients, who currently do not hold any shares in their portfolios. Although Ducumon has a favorable opinion of Babyskin, she does not consider the shares a buy at the IPO price nor at current price levels. According to the CFA Institute Code of Ethics and Standards of Professional Conduct the most appropriate action for Ducumon is to:Aignore the request.Brecommend the shares after additional analysis.Cfollow the request as soon as the share price declines. 老師您好,這個(gè)題有些讀不明白,麻煩解析下
n the floor of the exchange and verbally harassed him about a poorly executed trade. 這句話啥意思
(1)課上老師提到的“research”和“RBD”都是什么部門?(2)RBD的英文全稱是什么?謝謝!
老師,28題題目沒有理解答案也沒有理解
老師,中間一行說這個(gè)人select investment ,這不就是說他把這些投資挑選出來然后推薦給客戶嗎,這樣子客戶就沒有辦法獲得全部信息,為什么沒有違反公平交易原則啊
b選項(xiàng) 題中說了沒有通知任何客戶,為什么不選b
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