NO.PZ202304110100000304
问题如下:
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.
Yes, relating to fair dealing.
Yes, relating to diligence and reasonable basis.
解释:
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.
IPS这里没有考虑到税的因素,基于错误IPS做的投资,也能判断为diligence and reasonable basis吗