问题如下图:
选项:
A.
B.
C.
解释:
没懂principle transaction或者on a principle basis是什么意思
NO.PZ201604030300004601 问题如下 1. For a CFA charterholr, woulaering to Omega’s policies regarng riskless principtransactions result in a violation of the CFA Institute Stanr of ProfessionConct? A.No. B.Yes, because Omega saantages institutionclients. C.Yes, because sclosure of the polies not relieve Omega of its obligation to treclients equally. A is correct.Mark-ups anmark-wns in net tras are consirefees paiclients. StanrIII(—Fair aling requires thmembers treall clients fairly in light of their investment objectives ancircumstances. Treating institutionanretail investors fferently is not a violation. Accorng to the Stanr, members cfferentiate their services to clients but fferent levels of servimust scloseanshoulnot negatively affeclients. Omega hma the appropriate sclosures to its clients in complianwith leganregulatory requirements well the Stanr. 老师您好,我记得交易时按照orr size来交易才是fair aling?这个principbasis是不是有点歧视部分客户了?
NO.PZ201604030300004601 问题如下 1. For a CFA charterholr, woulaering to Omega’s policies regarng riskless principtransactions result in a violation of the CFA Institute Stanr of ProfessionConct? A.No. B.Yes, because Omega saantages institutionclients. C.Yes, because sclosure of the polies not relieve Omega of its obligation to treclients equally. A is correct.Mark-ups anmark-wns in net tras are consirefees paiclients. StanrIII(—Fair aling requires thmembers treall clients fairly in light of their investment objectives ancircumstances. Treating institutionanretail investors fferently is not a violation. Accorng to the Stanr, members cfferentiate their services to clients but fferent levels of servimust scloseanshoulnot negatively affeclients. Omega hma the appropriate sclosures to its clients in complianwith leganregulatory requirements well the Stanr. 怎么说?
NO.PZ201604030300004601问题如下1. For a CFA charterholr, woulaering to Omega’s policies regarng riskless principtransactions result in a violation of the CFA Institute Stanr of ProfessionConct?A.No.B.Yes, because Omega saantages institutionclients.C.Yes, because sclosure of the polies not relieve Omega of its obligation to treclients equally.A is correct.Mark-ups anmark-wns in net tras are consirefees paiclients. StanrIII(—Fair aling requires thmembers treall clients fairly in light of their investment objectives ancircumstances. Treating institutionanretail investors fferently is not a violation. Accorng to the Stanr, members cfferentiate their services to clients but fferent levels of servimust scloseanshoulnot negatively affeclients. Omega hma the appropriate sclosures to its clients in complianwith leganregulatory requirements well the Stanr.请老师一下表格里的两种交易方式,和机构与个人的区别?一脸懵逼
NO.PZ201604030300004601 In aition, Omega informs thirparty broker-alers thit will seek best execution on retail orrs. 这句代表fair aling?
NO.PZ201604030300004601 题目中的riskless principtransaction和 net tra 是什么意思呢?没看懂,直接影响到答题了