cfa百度云获取：CFA二级自编题150道之道德

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总复习题3

Yuan,CFA,is an equity research analyst for Golden Securities.During a meeting with several potential clients.

Yuan claims that his research report is based on the mosaic theory which combines the annual financial reports posted on the official website and the industry expert opinions about the market trend that have already been published.

In addition,Yuan’s friends often tell him some news that can influence the stock price prior to public.Does Yuan most likely violate the CFAInstitute Standards of Professional Conduct if he uses the information above?

AYes,he violates the standards with regard to industry expert opinion.

B Yes,he violates the standards with regard to friends’news.

C No.

Answer:B

解析：

B选项是正确答案。因为Yuan经常从他朋友们那获得一些影响股价的消息，明

显是属于material nonpublic information，不属于是马赛克理论的范畴，违反了II(A)

Material Nonpublic Information。

选项A错误。因为协会不禁止你和行业专家交流，行业专家关于市场趋势的见

解不属于重大非公开信息.

选项C错误。Yuan是违反了II(A)Material Nonpublic Information。