What were the probable misrepresentations

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  • Relate this case to the CFA Code of Ethics.
    • -  What were the probable misrepresentations and/or omissions of facts in the amended S-1 filing?
    • -  Did the lead underwriters violate Fair Dealing with regards to the conveyance of updated revenue forecasts? If yes, how so?
  • Consider the lawsuit, Morgan Stanley v. Uma M. Swaminathan, stated in the case study. - In what way/s did Vanguard potentially fail in its fiduciary responsibilities toward Swaminathan?
  • A US judge stated that "...internal calculations and projections are not material facts that are required to be disclosed in a registration statement." - Discuss the potential repercussions to future IPOs in light of this ruling. Additional Material: The slides on the Facebook IPO are intended to provide you with further background information including a glossary of key terms to assist you with your preparation.


Reference no: EM13710122

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