当前位置： 找题吧 >  CFA特许金融分析师 CFA考试LevelⅠ
[单选题]

Adam Schute, CFA, is on a conference call with the CFO of an investment banking client with his phone speaker on and his door open. As a result, salesmen and traders overhear the CFO describing problems with production target dates that have not been publicly disclosed. The salesmen relay this information to clients and the traders reduce their positions in the stock. With respect to the Standard on material nonpublic information, Schute has:

A.Not violated the Standard because he has not acted on the information,but the traders and salesmen have violated the Standard.

B.Violated the Standard because he should have taken steps to prevent the dissemination of the information.

C.Violated the Standard by not making the information public when he realized others had overheard the call.

参考答案与解析：

相关试题

Sheila Schleif, CFA, is an equity analyst at an investment banking division of Mokara Financial Grou

[单选题]Sheila Schleif, CFA, is an equity analyst at an investment banking division

  • 查看答案

    • Sheila Schleif, CFA, is an equity analyst at an investment banking division of Mokara Financial Grou

    [单选题]Sheila Schleif, CFA, is an equity analyst at an investment banking division

  • 查看答案

    • When a client asks her how she makes investment decisions, Petra Vogler, CFA, tells the client she u

    [单选题]When a client asks her how she makes investment decisions, Petra Vogler, CF

  • 查看答案

    • When a client asks her how she makes investment decisions, Petra Vogler, CFA, tells the client she u

    [单选题]When a client asks her how she makes investment decisions, Petra Vogler, CF

  • 查看答案

    • Zhao Xuan, CFA, is a sell side investment analyst. While at a software industry conference, Zhao hea

    [单选题]Zhao Xuan, CFA, is a sell side investment analyst. While at a software indu

  • 查看答案

    • James Simone, CFA, the CFO of a publicly listed company, seeks to improve the quality of his company

    [单选题]James Simone, CFA, the CFO of a publicly listed company, seeks to improve t

  • 查看答案

    • As a condition of his employment with an investment bank, Abasi Hasina, CFA, was required to sign an

    [单选题]As a condition of his employment with an investment bank, Abasi Hasina, CFA

  • 查看答案

    • Sean Dahib, CFA, is in charge of the compliance program at his investment firm. According to the Sta

    [单选题]Sean Dahib, CFA, is in charge of the compliance program at his investment f

  • 查看答案

    • Peter Wellington references his status as a "CFA candidate" in current client presentation

    [单选题]Peter Wellington references his status as a "CFA candidate" in current clie

  • 查看答案

    • John Maginn, an investment researcher, who is a CFA charterholder, takes a trip for which his firm w

    [单选题]John Maginn, an investment researcher, who is a CFA charterholder, takes a

  • 查看答案

    • Adam Schute, CFA, is on a conference call with the CFO of an investment banking client with his phon