劉同學
2022-08-17 21:33Merchant Capital Partners, a regional investment bank, acts as a market maker for Vital Link Health Services and other small firms listed on an over-the-counter exchange. For those shares for whom Merchant acts as market maker, it trades for its own book as well as engaging in risk arbitrage trading. Merchant allows staff members to trade in shares once clients and the company have traded. Merchant recently obtained material nonpublic information regarding Vital’s planned reverse takeover of a publicly listed competitor. In order to be in compliance with the CFA Institute Code and Standards, which type of trading in Vital shares should Merchant least likely suspend? A Personal B Risk arbitrage C Passive proprietary 這個題不會
所屬：CFA Level I > 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
Danyi助教
2022-08-18 10:28
該回答已被題主采納
同學你好，
這道題是說這家銀行作為做市商，目前獲得了一個內(nèi)幕消息，為了符合CFA協(xié)會規(guī)范和標準，最不可能暫停哪種類型的交易？
如果此時做市商因持有重大非公開數(shù)據(jù)而停止做市，這反而會向投資者透露可能在不久的將來發(fā)布重大公告。這將對這個內(nèi)幕消息的保密起到反作用。條款建議做市商在掌握重大非公開信息時保持被動行為Passive proprietary，也就是不能暫停做市。
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