问题如下图:
选项:
A.
B.
C.
解释:
麻烦解释下A选项,谢谢
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.”
NO.PZ2016032801000002 问题如下 Whistatement about a manager’s use of client brokerage commissions violates the Co anStanr? A.A client mrea manager to use thclient’s brokerage commissions to purchase goo anservices for thclient. B.Client brokerage commissions shouluseto benefit the client anshoulcommensurate with the value of the brokerage anresearservices receive C.Client brokerage commissions mrecteto pfor the investment manager’s operating expenses. C is correct.This question involves StanrIII(–Loyalty, Prunce, anCare anthe specific topic of soft llars or soft commissions. Answer C is the correchoibecause client brokerage commissions mnot recteto pfor the investment manager’s operating expenses. Answer B scribes how members ancantes shoultermine how to use brokerage commissions — this, if the use is in the best interests of clients anis commensurate with the value of the services proviAnswer A scribes a practithis commonly referreto \"rectebrokerage.\"Because brokerage is asset of the client anis useto benefit the client, not the manager, supracties not violate a ty of loyalty to the client. Members ancantes are obligatein all situations to sclose to clients their practices in the use of client brokerage commissions. RT
NO.PZ2016032801000002 问题如下 Whistatement about a manager’s use of client brokerage commissions violates the Co anStanr? A.A client mrea manager to use thclient’s brokerage commissions to purchase goo anservices for thclient. B.Client brokerage commissions shouluseto benefit the client anshoulcommensurate with the value of the brokerage anresearservices receive C.Client brokerage commissions mrecteto pfor the investment manager’s operating expenses. C is correct.This question involves StanrIII(–Loyalty, Prunce, anCare anthe specific topic of soft llars or soft commissions. Answer C is the correchoibecause client brokerage commissions mnot recteto pfor the investment manager’s operating expenses. Answer B scribes how members ancantes shoultermine how to use brokerage commissions — this, if the use is in the best interests of clients anis commensurate with the value of the services proviAnswer A scribes a practithis commonly referreto \"rectebrokerage.\"Because brokerage is asset of the client anis useto benefit the client, not the manager, supracties not violate a ty of loyalty to the client. Members ancantes are obligatein all situations to sclose to clients their practices in the use of client brokerage commissions. 如题
老师我想问问a,客户让manager用佣金买goo anservices给自己不违反,这相当于是买什么都行吗? 感觉这条好无厘头。。
这道题是选非题对吧?就是其实c这样说不可以的?
不好意思,问道自己找到的习题,第50题,请问这道题为啥没有违背呢?