单选题 Which of the following statement is least likely a violation of Standard Ⅵ (B), Priority of Transactions?
  • A. An analyst trades for her own account before her firm announces a change in a recommendation.
  • B. An analyst trades for her daughter's trust account, which is not a firm account, on the day after her firm changes recommendation.
  • C. An analyst takes a position for her own outside account in a stock one week after she published a buy recommendation for the stock.
【正确答案】 C
【答案解析】[解析] 根据执业操守标准Ⅵ(B)的相关规定,只有在会员的客户和雇主有足够的机会根据会员所提供的建议进行相关投资活动以后,会员才可以用自己的账户进行个人交易。这里的“个人交易”是指会员使用以下账户进行的交易行为:(1)会员本人的账户;(2)其家庭成员(包括配偶、子女及其他直系亲属)的账户;(3)会员可以直接或间接获得资金收入的账户(如信托账户和养老金账户等)。选项A、B显然不符合上述要求,而选项C给其客户和雇主留出了一周的时间进行相关的投资活动,因而最不可能违反执业操守标准Ⅵ(B)的相关规定。