老師能不能麻煩講一下這道題？Gardner Knight, CFA, is a product development specialist at an investment bank. Knight is responsible for creating and marketing collateralized debt obligations (CDOs) consisting of residential mortgage bonds. In the marketing brochure for his most recent CDO, Knight provided a list of the mortgage bonds from which the CDO was created. The brochure also states “an independent third party, the collateral manager, has sole authority for the selection of all mortgage bonds used as collateral in the CDO.” However, Knight met with the collateral manager and contributed to determining the bonds included in the CDO. Knight is least likely to be in violation of which of the following Standards? A. Suitability B. Disclosure of Conflicts C. Communication with Clients and Prospective Clients
PNW’s Code of Ethics restricts trading by all of the bank’s analysts and portfolio managers and requires their trades to be pre-cleared by the Compliance Department. 所以原文里的這句話可以看成是干擾項？前面已經(jīng)說明了Rachel提前在信息未公開就做了交易，從這點就可以得出違反準則；并且公司的這項規(guī)定Rachel也違反了。可以這樣理解嗎？
Module 4-官網(wǎng)習題-Practice Problems-Question 24-這題知識點，在書上第幾頁？尤其是B選項，follow local laws 在書上第幾頁？
Module 2-Practice Problems-Question 7-B選項，為什么錯誤？Responsibilities to clients and employers 應該分開寫？正確表述應該是Duties to Clients 以及 Duties to Employers？
有沒有違反loyalty
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基金經(jīng)理在研究報告里引用著名學者的話，但是是用自己的話表述的，沒有標明出處，他違反準則了嗎
方便再說一下 loyalty是怎么違反的嗎
?“Members and Candidates must not accept gifts, benefits, compensation, or consideration that competes with or might reasonably be expected to create a conflict of interest with their employer’s interest unless they obtain written consent from all parties involved.”請問這里的all parties involved要怎么理解，指的是雇主嗎？
from his clients in writing recommendations ，我理解成寫的recommend的公司因為他推薦而給他支付費用了。
進行操作的時候，hope什么才不違反準則？我看了這些題目，感覺想要價格變化和流動性變化都違反了
老師下一個題目如果沒有講有無競爭性協(xié)議，那是不是就默認有了
老師，能不能舉例說明，個人賬戶和職業(yè)賬戶有什么區(qū)別？另外一個賬戶怎么做到既有個人信息又有職業(yè)信息
請問ethnics里會不會有那種，問你這條code of conduct屬于哪個部分，比如屬于I c) 還是 II b)的題？
對客戶進行虛假陳述，是否也會違反suitability？
程寶問答
金程問答