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2022-08-09 00:42官網(wǎng)題，CleanTech Research Fund Case Scenario
官網(wǎng)題，CleanTech Research Fund Case Scenario， CleanTech’s statement that the hedge fund benefited from the increase in share value for EnergyAlgae last year is a violation of Standard I(C)–Misrepresentation because the fund had only recently invested in the stock, so it did not benefit from the large m
所屬：CFA Level III > Ethical and Professional Standards 視頻位置 相關試題
來源： 視頻位置 相關試題
1個回答
Chris Lan助教
2022-08-09 10:50
該回答已被題主采納
同學您好
根據(jù)這句話：
One of the founders of CleanTech is on the board of EnergyAlgae, and information he gave us on the company’s patent process led us to purchase additional stock in EnergyAlgae before the patent became widely publicized with the release of the company’s semiannual financial report.
專利在推廣之前，C公司就利用他們提前知道的專利信息，買了E公司的股票。因此違反MNI。
另外基金投資的就是高風險投資，而E公司也是高風險的投資品，因此適合性是不違反的。
而C選項所說的，其實針對的是statement 1中的這句話：
In fact, our proprietary investment analytics software has determined that investments in green transportation companies are likely to double in value in the next six months based on a multiple factor regression analysis.
C公司聲稱對沖基金從E公司投資去年的股價上漲中受益，這違反了標準I(C)，不當表述，因為C基金最近才投資E公司的股票，所以它沒有從該股票價格的大幅波動中受益。這個表述是錯的，但這句話并不在statement2中，所以這個題出的并不好。
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