第四題，有沒有可能放在限制交易名單里也是一個(gè)利用重大內(nèi)幕信息的方式？假如同一個(gè)公司另一個(gè)基金經(jīng)理本身可能要買的，但是我得到一個(gè)重大的利空消息，我急忙跑去匯報(bào)，說將這個(gè)股票放在禁止交易的名單里？
請問這個(gè)為什么不對？ ABC is marketing a sophisticated new model to high net worth investors. to simplify the newsletter, she includes only each week's top 5 recommendations and to leave out details of the valuation models and the portfolio -structuring scheme. 客戶要詳細(xì)信息的時(shí)候再給 有什么不對謝謝
29題， b和c 有什么區(qū)別嗎？
老師，您好，這道題，已經(jīng)盡調(diào)了，為哈還是盡調(diào)有問題，確實(shí)涉及利益，為啥不是披露有問題，謝謝
第三題 為什么不能直接拒絕offer呢
老師，您好，這題麻煩解答一下，謝謝啦
請問這個(gè)DRC是什么，為什么會(huì)有罰款？
第4題 我去新公司之前我并沒有向新公司disclose我在subsidiary里有職位啊 這個(gè)不算是loyalty to empoyer嗎
第二題，如果是每年度才同時(shí)對三個(gè)部分檢測更新的話那還違反準(zhǔn)則嗎？如果不違反，那么現(xiàn)在的做法應(yīng)該跟每年度才對三個(gè)部分同時(shí)檢測更新的做法并不矛盾，甚至更優(yōu)，為什么反而違反了？如果每年度才同時(shí)對三個(gè)部分檢測更新也違反準(zhǔn)則的話，那么現(xiàn)在違反的原因就不是像解析所說的頻率不一致。
請問第2題為什么不選C？
trades in personal accounts of 200 shares or less are not subject to preclearance 請問這句話是什么意思？
請問procedure 2是什么意思，錯(cuò)在了哪里？英文沒看懂。
第二題也沒說同時(shí)兼任啊，基金經(jīng)理在結(jié)束投資崗位之后，再去擔(dān)任合規(guī)官有何不可呢？
為啥這個(gè)w2是負(fù)數(shù)啊
老師，您好，以下題，沒有選擇，只是匯報(bào)真實(shí)整體業(yè)績，為啥也是mispresentation/原題Q. Michelieu tells a prospective client, “I may not have a long-term track record yet, but I’m sure that you’ll be very pleased with my recommendations and service. In the three years that I’ve been in the business, my equity-oriented clients have averaged a total return of more than 26% a year.” The statement is true, but Michelieu only has a few clients, and one of his clients took a large position in a penny stock (against Michelieu’s advice) and realized a huge gain. This large return caused the average of all of Michelieu’s clients to exceed 26% a year. Without this one investment, the average gain would have been 8% a year. Has Michelieu violated the Standards? No, because Michelieu is not promising that he can earn a 26% return in the future. No, because the statement is a true and accurate description of Michelieu’s track record. Yes, because the statement misrepresents Michelieu’s track record.
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