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一只可爱的猪 · 2021年05月02日

这道题不太明白

* 问题详情,请 查看题干

NO.PZ201604030100004403

问题如下:

3. When making her initial recommendation to purchase Greenhornfood company shares, Voser most likely violates the Standard relating to:

选项:

A.

loyalty to employer.

B.

integrity of capital markets.

C.

diligence and reasonable basis.

解释:

A is correct.

Voser most likely violated the Standard relating to loyalty to employer, Standard IV(A). While Voser used public information to develop the recommendation to purchase Greenhornfood shares, the company compliance guide states that she should not trade or cause others to trade in securities of companies that may be potential takeover targets. Voser’s recommendation caused her sister to trade in Greenhornfood, violating the company’s compliance policies, and possibly harming her employer in its attempt to acquire Greenhornfood.

By advising others to invest in a food retailer that she considered an attractive acquisition target, Voser deprived her employer of the advantage of her skills and abilities and may have caused harm to her employer. Voser could have recommended Greenhornfood to Craw rather than her sister as an acquisition target. Although the sister’s trade in Greenhornfood was small, a large trade might have moved the stock price and caused harm to Crawfood in terms of additional cost.  

我不太明白为什么A,不C?老师可以讲解的时候顺带原文的依据一起给我看看吗

1 个答案

王暄_品职助教 · 2021年05月04日

同学可以看如下截图:

这段说Vosert通过观察新闻,发现Greenhornfood这家公司是因为管理层不行,导致业绩下滑;但他们的customer base一直在上升。

再根据下面这段:

公司高管曾说过,只有本地没有acquisitions。

所以这么一结合,Voser推测他的公司很可能收购Greenhornfood这家公司,才推荐给姐姐。

所以并没有违反C:diligence and reasonable basis