Условие:
White, a portfolio manager for XYZ Investment Management Company (a registered investment organization that advises investment firms and private accounts) was promoted to that position three years ago. Green, her supervisor, is responsible for reviewing White's portfolio account transactions and her required monthly reports of personal stock transactions. White has been using Jolli, a broker, almost exclusively for brokerage transactions for the portfolio account. For securities in which Jolli's firm makes a market, Jolli has been giving White lower prices for personal purchases and higher prices for personal sales than Jolli gives to White's portfolio accounts and other investors. White has been filing monthly reports with Green only for those months in which she has no personal transactions, which is about every fourth month. Which of the following is most likely to be a violation of the Code and Standards? A) White failed to disclose to her employer her personal transactions B) White owned the same securities as those of her clients C) Green allowed White to use Jolli as her broker for personal trades.