趙同學(xué)
2021-01-07 15:50Garcia 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. 老師，當(dāng)事人是聽到了同行業(yè)一個(gè)公司被降級(jí)了，然后賣空了另一個(gè)公司，這樣也算違規(guī)嗎？
所屬：CFA Level III > Ethical and Professional Standards 視頻位置 相關(guān)試題
來源： 視頻位置 相關(guān)試題
1個(gè)回答
Johnny助教
2021-01-07 17:27
該回答已被題主采納
同學(xué)你好，這是屬于違規(guī)的，Omega是經(jīng)常會(huì)研究競(jìng)爭(zhēng)對(duì)手以及同行業(yè)的其他公司，他在得知Omega的分析師下調(diào)了同行業(yè)一家公司的評(píng)級(jí)后就賣空了Tefla，說明他是根據(jù)這條消息在賣空Tefla，如果他不知道這條消息的話就不會(huì)去賣空，所以這是屬于違規(guī)的，因?yàn)樗堑弥薓NI后根據(jù)這條信息去交易的
0
0
2
2
