关于nonmaterial public information及 Diligence and Reasonable Basis的一个问题 公司, reasonable, public, basis

genCFA

如果一个candidate 看到了公司的一份 list而采取了sell，为何是违反了reasonable basis而不是nonmaterial public information?

erix9000

which company? client or investment bank?

And what list?

genCFA

更正一下，不好意思，我之前只是凭印象发的帖子。
如果一个candidate在visit一个公司时overhear了职员说的一些消息而采取了sell recommerndation（之类）的行动，请问是违反了reasonable basis呢还是material nonpublic information?
谢谢指教了

shearer

reasonable basis

bartzzr

reasonable basis

mecca

因为他也不确定职员的消息是否属实

erix9000

 reasonable basis, unless the overheard information is material non-public information.

and normally the STAFF will not have material non-public information, only consider the executives.