劉同學(xué)
2022-08-17 21:45Colleen O’Neil, CFA, manages a private investment fund with a balanced global investment mandate. Her clients insist that her personal investment portfolio replicate the investments within their portfolio to ensure them that she is willing to put her money at risk. By undertaking which of the following simultaneous investment actions for her own portfolio would O’Neil most likely be in violation of Standard VI(B)–Priority of Transactions?ASale of a listed US blue chip value stock.BParticipation in a popular frontier market IPO.CPurchase of a UK government bond in the primary market. C為啥不對(duì)
所屬：CFA Level I > Ethical and Professional Standards 視頻位置 相關(guān)試題
來(lái)源： 視頻位置 相關(guān)試題
1個(gè)回答
Danyi助教
2022-08-18 10:38
該回答已被題主采納
同學(xué)你好，
我們只涉及一種情況不能參與交易就是在超額認(rèn)購(gòu)的時(shí)候，不參與可以更大程度滿(mǎn)足客戶(hù)認(rèn)購(gòu)的數(shù)額。其他情況只要在客戶(hù)操作執(zhí)行之后都是可以進(jìn)行交易的。沒(méi)有C會(huì)違規(guī)的這種說(shuō)法
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