问题 单项选择题

Theresa Green, CFA, manages the portfolio of Ian Knowlden, a client of Tisbury Investments. Green knows that Knowlden is preparing to sell a large position in the Franklin Industries, a relatively small inactively-traded stock listing in a local exchange. Green places a sell order for Franklin Industries in his own account before the Knowlden's order is placed. Green has most likely violated the Standard(s) of Professional Conduct relating to:()

A. only material non-public information.

B. only priority of transactions.

C. both material nonpublic informationand priority of transactions.

答案

参考答案:C

解析:

Green在客户交易之前进行个人交易,违反了优先交易权(priority of transactions)的行为标准。客户正准备出售大量股票,而这对股票价格会有重大影响,所以这属于重大的非公开信息,Green利用了该重大的非公开信息进行交易,违反了重大的非公开信息(material nonpublic information)披露的行为标准。

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