开发者:上海品职教育科技有限公司 隐私政策详情

应用版本:4.2.11(IOS)|3.2.5(安卓)APP下载

Tse0507 · 2023年02月24日

fair dealing

NO.PZ2016032802000008

问题如下:

Giorna Booa,an investment firm in the United States. Once the recommendation changes have been announced, it always starts trading for its own account immediately. It is likely that this firm violates the Code and Standards?

选项:

A.

No, the firm can trade for its own account any time.

B.

Yes.

C.

No, the firm can trade before its clients.

解释:

B is correct.

According to Standard III(B) Fair Dealing, the company must give its clients enough time to take action based on their recommendations or changes.

客户没有下单指令,为什么不能先给公司账户交易呢,谢谢

1 个答案

王暄_品职助教 · 2023年02月25日

这是协会的要求啊,一旦有建议更行,要优先通知客户,优先给客户交易;然后才能轮到公司账户,及工作人员的私人账户。