问题 单项选择题

Kim Lee manages a variety of accounts at Superior Investments. Some are permitted to invest in tax - exempt issues only; others may not invest in a stock unless it pays dividends. Lee is researching a biotech firm specializing in the analysis of "mad cow" disease. While touring company facilities and meeting with management, she learns that they believe they may have found a way to reverse the disease. Moreover, one manager conjectured, "Suppose that we reversed the disease in someone who didn’t even have it We might then be able to boost that individual’s IQ into the stratosphere ! " Lee returns to her office and buys shares for all accounts under her supervision. This action is:()

A. a violation of the Standard concerning appropriateness and suitability of investment actions.

B. appropriate given the obvious potential of the therapy.

C. only permissible if the account holders are contacted first before the shares are purchased.

答案

参考答案:A

解析:

Given the variety of accounts under her supervision, it is not likely the shares of a speculative biotech firm would be suitable for all accounts. Placing such shares in all accounts indicates that she has failed to consider the appropriateness and suitability of the investment for each account, and this places her in violation of Standard Ⅲ (C).

单项选择题
单项选择题