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CFA考试(Level Ⅰ) - 相关题库
单选题 编号:2692182
1. Ralph Malone, CFA, is an investment adviser at a multinational finance corporation. He has many wealthy individuals among his clients, including a trust account that benefits three of his immediate family members. The research department of Malone's firm issues a "buy" recommendation on a stock-that would be a suitable investment for several client accounts, including the family trust account. Which of the following would be considered a violation of the Standard concerning priority of transactions?
  • A.The firm gives clients time to act on the new recommendation,but does not make its recommendation public before buying 100,000 shares for its own account.
  • B.Malone trades on the family account shortly after his firm's clients have been informed of the buy recommendation.
  • C.Malone waits to trade for the family account until four days after his firm's clients have been informed of the buy recommendation.

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