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刘同学2022-08-17 21:45:19

Colleen 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为啥不对

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Danyi2022-08-18 10:38:41

同学你好,
我们只涉及一种情况不能参与交易就是在超额认购的时候,不参与可以更大程度满足客户认购的数额。其他情况只要在客户操作执行之后都是可以进行交易的。没有C会违规的这种说法

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