NO.PZ2016032802000042
问题如下:
Susan Swith, CFA, works as a portfolio manager at ABC Asset Management Company, which has a long-term relationship with the Tiny Investment Bank. These days, Tiny Bank issues a IPO of Sunny Company, so, they request Susan to purchase shares of it to increase the stock price quickly. Susan considers their relationship and then accepts this requirement. Which of the following statements is most accurate?
选项:
A.Susan violates Standard VI(B) Priority of Transactions.
B.Susan violates Standard II(B) Market Manipulation.
C.Susan complies with the Code and Standards.
解释:
B is correct.
According to Standard II(B) Market Manipulation, Susan accepts this requirement which is a violation of increasing the stock price artificially. This is a Transaction-Based Manipulation.
对投行和资管公司之间的利益关系有点没太懂。谢谢助教。