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我道德学得实在不好.
也是老题目了, 我想问一下
1.这个题目里的rumor到底算不算是内幕消息?
还是算"马赛克方法"? 因为毕竟他是听的rumor, 然后做的详细调查, 而且而且, 如果是内幕消息的话,他显然不能以此来推荐客户sell share.
2. 但是答案为什么老在说遇到内幕消息该怎么办?????????
3. 做题时能不能总结说"rumor"肯定都不是内幕消息?
原题:
Zhao Xuan, CFA, is a sell side investment analyst. While at a software industry conference, Zhao hears rumors that Green Run Software may have falsified its financial results. When she returns to her office, Zhao conducts a thorough analysis of Green Run. Based on her research, including discussions with some of Green Run’s customers, Zhao is convinced that Green Run’s reported 50% increase in net income during recent quarters is completely fictitious. So far, however, Zhao is the only analyst suspicious about Green Run’s reported earnings. According to the CFA Institute Code of Ethics and Standards of Professional Conduct, the least appropriate action for Zhao is to:
A. report her suspicions to Green Run’s management.
B. do nothing, until other analysts support her analysis.
C. recommend her clients sell their Green Run shares immediately.
B is correct because the analyst has conducted thorough research that indicates the company falsified its financial results, and she should request the company address this issue publicly as recommended by Standard II (A) Material Nonpublic Information. If a member or candidate determines that information is material, the member or candidate should make reasonable efforts to achieve public dissemination of the information. This effort usually entails encouraging the issuer company to make the information public. If public dissemination is not possible, the member or candidate must communicate the information only to the designated supervisory and compliance personnel within the member’s or candidate’s firm and must not take investment action on the basis of the information.
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