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一只可爱的猪 · 2022年07月05日

详细解释一下Policy 1

At the end of the day, Wong meets with a long-term client of SWM to discuss SWM’s trade policies. The client identifies two of SWM’s trade policies and asks Wong whether these are consistent with good trade governance:

Policy 1 SWM works only with pre-approved brokers and execution venues, and the list is reviewed and updated regularly.

Policy 2 SWM is allowed to pool funds when appropriate, and executed orders are allocated to the accounts on a pro-rata basis.

Which of SWM’s trading policies identified by the client are consistent with good trade governance?

A Only Policy 1 B Only Policy 2 C Both Policy 1 and Policy 2

答案C

为什么选择C

Policy 1也对吗?SWM要提前pre-approved brokers and execution venues?这是什么意思?详细解释一下Policy 1?

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吴昊_品职助教 · 2022年07月05日

嗨,努力学习的PZer你好:


Policy1是对的。

broker和venue得有一个白名单,在交易之前就确定好,并且这个白名单得不断做更新和检查。这句话明显是对的,这样做可以防止在选broker和venue时存在猫腻。

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虽然现在很辛苦,但努力过的感觉真的很好,加油!

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