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66教主 · 2018年06月01日

问一道题:NO.PZ2016032801000002 [ CFA I ]

问题如下图:

    

选项:

A.

B.

C.

解释:


麻烦解释下A选项,谢谢

1 个答案
已采纳答案

发亮_品职助教 · 2018年06月05日

同学你好!

由于Soft dollar仍然是属于客户的,所有有时候会出现这种情况:客户(Client)让基金经理用soft dollar买一些product or services给自己(Client)。出现这种情况,就叫做directed brokerage.

A选项就是说的这种情况。

这种情况是不违反准则的。

参考如下:

a client will direct a manager to use the client's brokerage to purchase goods or services for the client, a practice that is commonly called “directed brokerage.”

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