标记黄色的这句话什么意思,能否详细解释下具体案例,感谢
王暄_品职助教 · 2022年10月29日
该句子的完整案例如下:
Paul Rove, performance analyst for Alpha-Beta Investment Management, is describing to the firm’s chief investment officer (CIO) two new reports he would like to develop to assist the firm in meeting its obligations to treat clients fairly. Because many of the firm’s clients have similar investment objectives and portfolios, Rove suggests a report detailing securities owned across several clients and the percentage of the portfolio the security represents. The second report would compare the monthly performance of portfolios with similar strategies. The outliers within each report would be submitted to the CIO for review.
Alpha-Beta Investment Management的业绩分析师保罗•罗夫(Paul Rove)正在向公司的首席投资官(CIO)说:他希望编写的两份新报告,以帮助公司履行公平对待客户的义务。由于该公司的许多客户都有相似的投资目标和投资组合,罗夫建议编写一份报告,详细说明几家客户所持有的证券,以及这些证券在投资组合中所占的百分比。第二份报告将比较采用类似策略的投资组合的月度表现。每个报告中的异常值将提交给CIO进行审查。
这个人给出建议完全符合III(B)的要求,因为作为一名业绩分析师,Rove可能很少与客户直接接触,因此没有机会区别对待客户。推荐的报告符合标准III(B),同时帮助该公司进行事后审查,以了解该公司的投资经理如何有效地处理客户的投资组合。监督客户公平待遇的这两份报告,的确是可以确保客户受到公平待遇的重要监督工具。