劉同學(xué)
2018-04-06 13:35A client who is a director of a publicly listed corporation is required by law to refrain from trading that company's stock at certain points of the year when disclosure of financial results are pending. In preparing a written investment policy statement (IPS) for this client, how does the manager deal with this restriction on trading? A It is irrelevant to the IPS. B It should be included in the IPS. C It is illegal for the portfolio manager to work with this client. 他是高管他這要求不違法嗎？
所屬：CFA Level I 視頻位置 相關(guān)試題
來源： 視頻位置 相關(guān)試題
1個回答
Vito Chen助教
2018-04-09 11:56
該回答已被題主采納
同學(xué)，你好。第一，這是法律的要求；第二，從實操上來看也是符合情理的，在公布公司年報之前，限制一定的交易也是避免有違規(guī)操作的做法。從這兩點上來看都很合理。
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