劉同學
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
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 10:38
該回答已被題主采納
同學你好，
我們只涉及一種情況不能參與交易就是在超額認購的時候，不參與可以更大程度滿足客戶認購的數額。其他情況只要在客戶操作執(zhí)行之后都是可以進行交易的。沒有C會違規(guī)的這種說法
為乘風破浪的你【點贊】??讓我們知曉您對答疑服務的支持！~
0
0
0
0
