NO.PZ2016040301000011
问题如下：
Which one of the following actions will help to ensure the fair treatment of brokerage firm clients when a new investment recommendation is made?
选项：
A.Informing all people in the firm in advance that a recommendation is to be disseminated.
B.Distributing recommendations to institutional clients prior to individual accounts.
C.Minimizing the time between the decision and the dissemination of a recommendation.
解释：
C is correct.
This question, which relates to Standard III(B) –Fair Dealing, tests the knowledge of the procedures that will assist members and candidates in treating clients fairly when making investment recommendations. The step listed in C will help ensure the fair treatment of clients. Answer A may have negative effects on the fair treatment of clients. The more people who know about a pending change, the greater the chance that someone will inform some clients before the information’s release. The firm should establish policies that limit the number of people who are aware in advance that a recommendation is to be disseminated. Answer B, distributing recommendations to institutional clients before distributing them to individual accounts, discriminates among clients on the basis of size and class of assets and is a violation of Standard III(B).
老师这个C选项说最小化做决策和发布信息的时间，我一开始的理解是客户做投资决策的时间和发布给客户信息的时间。这不就相当于老师一直强调的7 mininuts的 那个case吗？通知了客户投资建议之后，7分钟就开始做交易了。
违反了conflict of interest。
