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苏苏1124 · 2023年04月02日

关于B与C

NO.PZ2016032802000042

问题如下:

Susan Swith, CFA, works as a portfolio manager at ABC Asset Management Company, which has a long-term relationship with the Tiny Investment Bank. These days, Tiny Bank issues a IPO of Sunny Company, so, they request Susan to purchase shares of it to increase the stock price quickly. Susan considers their relationship and then accepts this requirement. Which of the following statements is most accurate?

选项:

A.

Susan violates Standard VI(B) Priority of Transactions.

B.

Susan violates Standard II(B) Market Manipulation.

C.

Susan complies with the Code and Standards.

解释:

B is correct.

According to Standard II(B) Market Manipulation, Susan accepts this requirement which is a violation of increasing the stock price artificially. This is a Transaction-Based Manipulation.

请教老师,这题如果是因为T公司和S公司好,所以T公司发行IPO,找到战略合作伙伴买一些,其实这个也不算违反市场操控吧?或者S是考虑和T公司的关系可能也比较看好T公司未来而买这个股票,只是买的人多了股价就高了。这里感觉C也说得通。请老师解释一下。

1 个答案

王暄_品职助教 · 2023年04月03日

如果真的就是认为公司好,所以找到Susan帮忙买一些S的公司的股票是可以的

但本题的描述是:they request Susan to purchase shares of it to increase the stock price quickly【要求Susan购买S公司的股票,使得其股价快速上涨】,这就是典型的市场操作了。