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发表时间:2015-07-10 15:35 编辑: 告诉小伙伴:


【CFA真题】Kitty Janson, CFA, isthe founder of Meddy water Research, an investment management firm with soleactivity of short selling. Kitty seeks out companies whose stocks have hadlarge price increases and also pays several lobbying firms to update himimmediately on any legislative or regulatory changes that may impact his targetcompanies.

For those target companies Kitty estimates near the peak of theirsales and earnings, Kitty sells short those target companies. Additionally, Kittyconducts a public relations campaign to disclose all of the negativeinformation he has gathered on the company immediately after he sells a stock,even if the information is not yet public.

Which of Kitty’s following actionsis least likely to be in violation of the CFA Institute Standards ofProfessional Conduct?

A. Trading on information from lobbyists

B. Disclosing information about target companies

C. Selling stock short

金程cfa解析】Solution: C

C is correctbecause selling stock short is a management strategy and does not necessarilyviolate any aspect of the Code and Standards.



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