NO.PZ201604030100004304
问题如下:
4. Does Telline violate any CFA Institute Standards when he places the buy order for shares in the technology company for Caper’s account?
选项:
A.No.
B.Yes, relating to fair dealing.
C.Yes, relating to diligence and reasonable basis.
解释:
A is correct.
Telline is careful to consider the investment’s suitability for Caper’s account. Telline’s actions are consistent with CFA Institute Standards III(A) –Loyalty, Prudence, and Care and III(B) –Fair Dealing. Telline determines that the other client does not have the cash available in his account and selling existing holdings does not make sense.
that client does not have cash available in his account and Telline determines that selling existing holdings does not make sense. 这说的是一个client没有足够资金,但是并不代表其他所有客户都是有这个问题啊,所以是违反fair dealing的吧