NO.PZ201604030100004404
问题如下:
4. When recommending the purchase of additional Greenhornfood company shares, Voser least likely violates the Standard relating to:
选项:
A.loyalty to employer.
B.integrity of capital markets.
C.diligence and reasonable basis.
解释:
C is correct.
Voser least likely violated the Standard relating to diligence and reasonable basis. Voser initially applied the mosaic theory and had a reasonable basis for the trade as required by Standard V(A). Eventually, she came into possession of material nonpublic information (corporate logo on a document, overheard conversation). According to Standard II(A), once in possession of material nonpublic information, she is prohibited from acting or causing others to act. Voser also violated her duty of loyalty to her employer, Standard IV(A), by encouraging others to trade in Greenhornfood and possibly harming Crawfood’s attempts to acquire the smaller company at an attractive price.
老师,请教下:
1、重大非公开信息有一点事信息来源可靠,Voser看到老板办公桌上有一个文件上面有Green公司logo,听到别人说公司名字,但题目没有说他看到文件内容或听到对话内容,这个是不是有点不可靠呀?这纯粹啥实质性信息也没听见,全靠自己联想呀。这个不可靠的信息+之前看新闻得到的公开信息,是不是更像马赛克理论呢?
2、麻烦老师讲解下,什么情况就能算信息来源可靠了呢?我记得经典题讲到过一个案例,是一个人看到两个公司高管吃饭,结合一些公开信息,推断出两家公司合并,这个就属于是马赛克理论,是不违反道德的。