问题 单项选择题

A stockbroker who is a CFA Institute member is called on the telephone by the CEO of a large company. The CEO asks to buy shares of the CEO’s company for the accounts of the CEO’s children. In the course of the conversation, the CEO says this will really pay off when the upcoming takeover goes through. The stockbroker checks her sources and finds no information about the takeover. In this ease the broker should:()

A. only execute the order in compliance with Standard Ⅲ (A), Loyalty, Prudence, and Care. Since the client is buying the stock for the children, there is not a problem.

B. execute the order for all clients as required by Standard Ⅲ (B), Fair Dealing.

C. do none of the actions listed here.

答案

参考答案:C

解析:

Doing any of these actions would be a violation of Standard Ⅱ (A), Material Nonpublic Information. Members and Candidates must not act or induce others to act on material nonpublic information.

单项选择题 A1/A2型题
名词解释