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Sofia nice · 2024年06月12日

C选项

NO.PZ2016032801000011

问题如下:

Which one of the following actions will help to ensure the fair treatment of brokerage firm clients when a new investment recommendation is made?

选项:

A.

Informing all people in the firm in advance that a recommendation is to be disseminated.

B.

Distributing recommendations to institutional clients prior to individual accounts.

C.

Minimizing the time between the decision and the dissemination of a recommendation.

解释:

C is correct.

This question, which relates to Standard III(B) –Fair Dealing, tests the knowledge of the procedures that will assist members and candidates in treating clients fairly when making investment recommendations. The step listed in C will help ensure the fair treatment of clients. Answer A may have negative effects on the fair treatment of clients. The more people who know about a pending change, the greater the chance that someone will inform some clients before the information’s release. The firm should establish policies that limit the number of people who are aware in advance that a recommendation is to be disseminated. Answer B, distributing recommendations to institutional clients before distributing them to individual accounts, discriminates among clients on the basis of size and class of assets and is a violation of Standard III(B).

C这个decision我还理解成了,下单交易的时间,好像刚告诉客户,人家还来不及反应,这面就决定了,下单了。

1 个答案

王暄_品职助教 · 2024年06月12日

选项C中的“Minimizing the time between the decision and the dissemination of a recommendation”并不是指下单交易的时间,而是指从做出投资决策到将投资建议分发给客户的时间间隔。


这里强调的是,当一家经纪公司为其客户提供新的投资建议时,为了公平对待所有客户,应该尽量减少在决策制定和推荐发布之间的时间差。这样做的目的是确保所有客户都能在同一时间获得相同的投资建议,避免因为信息传递的延迟而导致某些客户比其他客户更早获得信息,从而可能获得不公平的优势。

因此,选项C确实是一个合理的步骤,可以帮助确保经纪公司客户在获得新的投资建议时得到公平对待。这与下单交易的时间没有直接关系,而是与信息传递的及时性和公平性相关。

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