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2024-07-21 18:51Simon Jensen, CFA, a portfolio manager, participates in an IPO of PT Tech. Jensen prorates the oversubscribed issue on an odd-lot basis to suitable clients. After the successful IPO, his colleague Todd Durkny, a CFA candidate, initiates coverage of PT Tech and sends her "buy" recommendation to all clients by email. She then calls her premium fee-paying clients to discuss PT Tech in-depth. Whose actions are consistent with the Standards?請(qǐng)問(wèn)這里Jensen違反準(zhǔn)則的原因是因?yàn)樽隽肆銛?shù)交易，而沒(méi)有以最小交易單位交易嗎？謝謝。
所屬：CFA Level I > Ethical and Professional Standards 視頻位置 相關(guān)試題
來(lái)源： 視頻位置 相關(guān)試題
1個(gè)回答
Danyi助教
2024-07-31 17:16
該回答已被題主采納
同學(xué)你好，
超額認(rèn)購(gòu)是要按照order size訂單數(shù)來(lái)進(jìn)行分配，而不是根據(jù)合適的賬戶來(lái)分配。同時(shí)也是按on a round-lot basis，而非odd-lot
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