这个题怎么分析啊。她用别人的推荐来买股票。好像违反reasonable basis的吧。
Susan Roberts, CFA, a portfolio manager for Howard Investment Counsel, has just received a
call from Michael Moore, an institutional broker. Moore is calling to recommend buying
Megamove, an obscure stock on the Nasdaq Stock Market, as a takeover candidate. In the
past, Moore has demonstrated an ability to pick takeover candidates. If Roberts buys the
stock, is she violating AIMR Standards of Professional Conduct involving trading on material
nonpublic information?
A. Yes, because Roberts is receiving confidential information.
B. No, because Roberts is basing the purchase on the “mosaic theory.”
C. Yes, because Moore and his sources are breaching fiduciary duty and are receiving
personal benefits as a result.
D. No, because Roberts neither knows nor has any reason to know of a breach in the laws
about using material nonpublic information. |
发表于 2007-11-20 15:39
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