William
2018-09-11 19:34Example 9 (Mosaic Theory): John Doll is a research analyst for a hedge fund that also sells its research to aselect group of paying client investment firms. Doll’s focus is medical technologycompanies and products, and he has been in the business long enough and has been successfulenough to build up a very credible network of friends and experts in the business.Doll has been working on a major research report recommending Boyce Health, a medicaldevice manufacturer. He recently ran into an old acquaintance at a wedding who isa senior executive at Boyce, and Doll asked about the business. Doll was drawn toa statement that the executive, who has responsibilities in the new products area,made about a product: “I would not get too excited about the medium-term prospects;we have a lot of work to do first.” Doll incorporated this and other information aboutthe new Boyce product in his long-term recommendation of Boyce. 請(qǐng)問(wèn)這個(gè)有無(wú)違反道德準(zhǔn)則呢，書上未正面回答，謝謝老師。
所屬：CFA Level III 視頻位置 相關(guān)試題
來(lái)源： 視頻位置 相關(guān)試題
1個(gè)回答
Vito Chen助教
2018-09-12 17:20
該回答已被題主采納
同學(xué)你好。這個(gè)case情況比較微妙。首先，這個(gè)高管說(shuō)的話，作為這個(gè)分析師不能再去詢問(wèn)進(jìn)一步的信息，否則就有可能提到內(nèi)幕消息了。另外，這個(gè)高管給出的這句話的信息需要和公開(kāi)信息一起結(jié)合起來(lái)判斷是不是構(gòu)成內(nèi)幕消息。
0
0
0
0
