刘同学2019-01-21 21:14:27
Which of the following statements clearly conflicts with the recommended procedures for compliance presented in the CFA Institute Standards of Practice Handbook? A Firms should disclose to clients the personal investing policies and procedures established for their employees. B Prior approval must be obtained for the personal investment transactions of all employees. C For confidentiality reasons, personal transactions and holdings should not be reported to employers unless mandated by regulatory organizations. 老师,您好,麻烦把这道题给讲解下,看不懂且不明白
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Bingo2019-01-22 09:50:45
同学你好。
题干:以下哪一个表述与职业伦理准则有冲突?(即哪一个选项违背了准则要求)
A. 公司应当向客户披露针对员工制定的限制个人投资政策及相关的流程;
B. 公司员工为自己交易之前,需要获得批准;
C. 出于保密原因,个人交易和持股情况不应当向雇主披露,除非受到监管机构的要求。
这题选C。职业伦理准则中是要求公司对员工个人持股情况进行限制的,这是为了防止基金经理或相关从业人士损害客户利益,优先于客户先行为自己进行交易,或者利用公司内部的信息操纵市场。
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