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- 2011-7-11
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- 2013-10-18
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So Im just going through the Ethics Section (did other sections first), and ran into some questions, So i figured I post my questions in this thread for further clarification.
Ill start with this one, not really a question but it got me thinking about the scenario. I am not sure if I am allowed to directly copy the example from the schweser text so ill just paraphrase
"Mrs X is in an elevator when she overhears the CFO of company X tell the president of Company X that the companies eranings for the past quarter have dropped significantly, information which will not be released till next week. Mrs X immediately calls her broker and tells her to sell her Company X Stock"
Ok so I know this is an obvious violation of Standard II (A) material nonpublic information, but I was thinking how difficult and helpless it must be for someone like Mrs X to overhear such material information. So basically she just sits there and waits till next week when she knows her stocks will plunge? is there anything she can do? I mean its not like her went out of her way to try to get this information or snoop around, she was just in the wrong place at the wrong time...
Edited 1 time(s). Last edit at Saturday, August 29, 2009 at 06:25PM by 918. |
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发表于 2011-7-13 15:24
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