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.
他的妹妹都不是他的client吧,只是这个分析师看到这个股票好,所以两次推荐给了他妹妹加仓,所以不管怎样他都不违反diligence&reasonable?