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梦秋 · 2018年06月12日

问一道题:NO.PZ2016040301000030 [ CFA II ]

为什么b不对,感觉也可以问题如下图:

选项:

A.

B.

C.

解释:

1 个答案

品职辅导员_小明 · 2018年06月12日

我们说的是soft dollar是应该直接花在做研究报告或者是做投资决策的过程中

B选项虽然也说的是违反,但是后面跟的理由却不是soft dollar的规定。

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NO.PZ2016040301000030问题如下Stafforis a portfolio manager for a specializereestate mutufun Her firm clearly scribes in the funs prospectus its soft llpolicies.Stafforcis thentering the CFA Progrwill enhanher investment cision-making skill ancis to use the funs soft llaccount to pthe registration anexfees for the CFA Program. Whiof the following statements is most likely correct?A.Staffornot violate the Co anStanr because the prospectus informeinvestors of the funs soft llpolicies.B.Stafforviolatethe Co anStanr because improving her investment skills is not a reasonable use of the soft llaccount.C.Stafforviolatethe Co anStanr because the CFA Progres not meet the finition of researalloweto purchasewith brokerage commissions.C is correct.Answer Accorng to StanrIII(–Loyalty, Prunce, anCare, the CFA Progrwoulconsirea personor firm expense anshoulnot paifor with the funs brokerage commissions. Soft llaccounts shouluseonly to purchase researservices threctly assist the investment manager in the investment cision-making process, not to assist the management of the firm or to further ecation. Thus, answer A is incorrect. Answer B is incorrebecause the reasonableness of how the money is useis not issue; the issue is thecationexpense is not research. 这一题我觉得B、C都是错的,为什么是C,求高手解答

2022-07-08 10:29 1 · 回答

NO.PZ2016040301000030 对于这两个概念brokerage commission和soft llar,我有点晕了 brokerage commission是基金经理寻找broker下单时候支付的佣金费用 那soft llar到底是真的付了真金白银,还是只是指broker 返还给的现金或者非现金的好处?

2021-08-25 14:08 1 · 回答

b能再一下么?我觉得这句话很对啊,没有错的地方,为什么不选

2020-10-17 14:44 3 · 回答

今年12月份的二级考试考纲要求soft llar还是必须要披露吗?

2020-10-12 14:11 1 · 回答

Stafforviolatethe Co anStanr because improving her investment skills is not a reasonable use of the soft llaccount. Stafforviolatethe Co anStanr because the CFA Progres not meet the finition of researalloweto purchasewith brokerage commissions. C is correct. Answer Accorng to StanrIII(–Loyalty, Prunce, anCare, the CFA Progrwoulconsirea personor firm expense anshoulnot paifor with the funs brokerage commissions. Soft llaccounts shouluseonly to purchase researservices threctly assist the investment manager in the investment cision-making process, not to assist the management of the firm or to further ecation. Thus, answer A is incorrect. Answer B is incorrebecause the reasonableness of how the money is useis not issue; the issue is thecationexpense is not research.  老师请问,C中的佣金也是soft llar一种吗?

2020-10-08 01:05 1 · 回答