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cika · 2023年01月23日

如何看出Vanderon 是 actively managed

* 问题详情,请 查看题干

NO.PZ201604030300004401

问题如下:

1. When recommending Vanderon convert to a PlusAccount, does Klein violate any CFA Institute Standards of Professional Conduct?

选项:

A.

No.

B.

Yes, because he does not have a reasonable basis.

C.

Yes, because the account is unsuitable for Vanderon.

解释:

A is correct.

Klein does not violate the CFA Standards of Professional Conduct when recommending a PlusAccount to Vanderon. His actions comply with Standard III(A) — Loyalty, Prudence, and Care; Standard III(C) —Suitability; and Standard V(A) — Diligence and Reasonable Basis. As required, Klein discloses the fee structure associated with the PlusAccount. Based on the fee structure and Vanderon’s trading activity, the PlusAccount appears to be a suitable investment vehicle. By converting to PlusAccount status, Vanderon will incur an annual fee of $1,000 and eliminate approximately $1,800 in annual brokerage commissions. The potential savings of approximately $800 provides a reasonable basis for recommending PlusAccount status.

PlusAccount适用于 actively managed,且资产达到50,000。请问老师,从哪里可以看出Vanderon 是 actively managed呢。谢谢

1 个答案
已采纳答案

王暄_品职助教 · 2023年01月24日

下图画框出,说V客户每周都付佣金,说明交易频率大约每周一次,非常高了,是actively managed



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2024-05-14 15:26 1 · 回答

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2022-07-26 18:37 1 · 回答

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2022-04-02 17:14 1 · 回答

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