问题 单项选择题

Kim Stone, CFA, works at trading desk in Howard Hedge Funds. Samuel Peter, a chief investment manager for Howard has instructed Stone to sell a large amount of one stock based on an inside information of significant legal disputes. Peter inadvertently heard the information from a company's president in an elevator. Stone is unaware that Peter got this information. Stone accepts the trade instruction and completes the order. Has Stone most likely violated the Standards of Professional Conduct()

A. No.

B. Yes, with respect to responsibilities of supervisors.

C. Yes, with respect to material nonpublic information.

答案

参考答案:A

解析:

Stone并不知道该交易行为来自重大的非公开信息,他接受了交易指令并不违反任何标准,只有当他知道或者应当知道时才会违反标准。

单项选择题 A1/A2型题
判断题