1、According to the CFA Institute Standards of Practice Handbook, insider trading is least likely to be prevented by establishing: A. fire walls.
B. watch lists.
C. restricted lists.
D. selective disclosure.
Correct answer = D
Standards of Practice Handbook, 9th edition (CFA Institute, 2005), pp. 37-47
Standards I-VII
2008 Modular Level I, Vol. 1, pp. 36-45
Study Session 1-2-a
demonstrate a thorough knowledge of the Code of Ethics and Standards of Professional Conduct by applying the Code and Standards to specific situations presenting multiple issues of questionable professional conduct
Selective disclosure occurs when companies discriminate in making material nonpublic information public. Selective disclosure raises insider trading concerns.
[此贴子已经被作者于2008-5-17 17:58:48编辑过] | 
发表于 2008-5-17 17:56
| 
