Alex Burl is an investment advisor at Helpful Investments, a local investment advisory firm. Helpful Investments requires its employees to invest in the same stocks which Helpful Investments recommends to its clients. Helpful Investments also has established strict procedures determining when trades can be executed in its employees' own portfolios to avoid any conflict of interests with its clients. This procedure is most likely in place to help Burl avoid violations of the Standards of Professional Conduct relating to:()
A. only material non-public information.
B. only priority of transactions.
C. both independence and material non-public information.
参考答案:B
解析:
个人交易应该在为客户交易和雇主交易之后,公司规定员工个人交易的时间是为了避免员工在为客户交易前进行交易,从而避免了违反优先交易权操作方法,该题与重大的非公开信息无关。