laralv
2022-04-02 17:25老師，麻煩解答下官網(wǎng)練習題這道Q題
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個回答
Chris Lan助教
2022-04-02 18:56
該回答已被題主采納
同學你好
When Tang reviews CleanTech’s trading activity in EnergyAlgae shares, she finds that CleanTech liquidated its position in EnergyAlgae soon after CleanTech’s portfolio managers presented positive views on EnergyAlgae in a number of media interviews.
這句話看出來他們其實是有操縱市場的情況，因此C是違規(guī)的。
Additionally, CleanTech’s analysts inform Tang that they did not need to look at the quality of Slar’s research because one of their former colleagues recently left CleanTech and established the research department at the brokerage firm.
這句話說明他們的研究報告是值得懷疑的，因此A是違規(guī)的。在進行股票推薦的時候是沒有勤勉盡責和合理基礎(chǔ)的。
再者，在交易的時候是先讓基金交易，后再個人交易，這是符合priority of transaction的，因此B是不違規(guī)的。
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