everglow
2022-09-18 12:08關(guān)于restricted-list，哪些情況下投行要將某家公司列入restricted-list呢？
所屬：CFA Level I > 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
Danyi助教
2022-09-19 13:22
該回答已被題主采納
同學(xué)你好，
Restricted lists：禁止交易清單，在清單內(nèi)的標(biāo)的股票，公司將不發(fā)表意見。
通常情況下，一般是公司跟標(biāo)的公司有業(yè)務(wù)往來，所以不希望負(fù)面的評論傷害彼此之間的業(yè)務(wù)往來，此時就可以把標(biāo)的公司放在Restricted lists里面，在清單內(nèi)的標(biāo)的股票，公司將不發(fā)表意見。也就避免了發(fā)表負(fù)面評論損害合作關(guān)系。
為乘風(fēng)破浪的你【點贊】??讓我們知曉您對答疑服務(wù)的支持！~
-
追問
當(dāng)了解到與某公司相關(guān)的NMI時也應(yīng)該放入list吧？我看原版書上有一道題好像是這樣描述的
-
追問
Andrews, a private wealth manager, is conducting interviews for a new research analyst for his firm. One of the candidates is Wright, an analyst with a local investment bank. During the interview, while Wright is describing his analytical skills, he mentions a current merger in which his firm is acting as the adviser. Andrews has heard rumors of a possible merger between the two companies, but no releases have been made by the companies concerned. Which of the following actions by Andrews is least likely a violation of the Code and Standards?
這是題目，答案中有選項是放入list -
追答
是的，restricted list禁止交易清單，在清單內(nèi)的標(biāo)的股票，公司將不發(fā)表意見。所以在沒有更好的辦法將MNI盡快公開的情況下，那么標(biāo)的公司是需要放入清單中的
0
0
0
0
