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Alice_090 · 2019年03月28日

问一道题:NO.PZ2016040301000011

问题如下图:

    

选项:

A.

B.

C.

解释:


老师好,不太能理解为什么A选项不对,可以再解释下么?谢谢

1 个答案
已采纳答案

包包_品职助教 · 2019年03月29日

同学你好,A选项是说经纪公司在发布投资推荐的时候要提前通知公司里的所有人。这是不对的,因为公司里面知道的人越多,就有可能有人会提前透漏给自己的客户。这也是符合现实的。实际上我们在把信息发布给客户之前,尽可能的要让更少的人知道新的投资建议,这样才能避免有人提前发布给自己的客户,引起不公平。

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NO.PZ2016040301000011问题如下Whione of the following actions will help to ensure the fair treatment of brokerage firm clients when a new investment recommention is ma?A.Informing all people in the firm in aantha recommention is to sseminateB.stributing recommentions to institutionclients prior to inviaccounts.C.Minimizing the time between the cision anthe ssemination of a recommention.C is correct.This question, whirelates to StanrIII(–Fair aling, tests the knowlee of the proceres thwill assist members ancantes in treating clients fairly when making investment recommentions. The step listein C will help ensure the fair treatment of clients. Answer A mhave negative effects on the fair treatment of clients. The more people who know about a penng change, the greater the chanthsomeone will inform some clients before the information’s release. The firm shoulestablish policies thlimit the number of people who are aware in aantha recommention is to sseminate Answer stributing recommentions to institutionclients before stributing them to inviaccounts, scriminates among clients on the basis of size anclass of assets anis a violation of StanrIII(B). fair aling提到,premium level serviis ok 理解有时候可以差别对待,给更高级的客户一些服务。什么情况下可以呢?(书上说是不影响其他客户,但如何判断呢,可以举例吗?像这题就不行。

2023-05-22 00:47 1 · 回答

NO.PZ2016040301000011 问题如下 Whione of the following actions will help to ensure the fair treatment of brokerage firm clients when a new investment recommention is ma? A.Informing all people in the firm in aantha recommention is to sseminate B.stributing recommentions to institutionclients prior to inviaccounts. C.Minimizing the time between the cision anthe ssemination of a recommention. C is correct.This question, whirelates to StanrIII(–Fair aling, tests the knowlee of the proceres thwill assist members ancantes in treating clients fairly when making investment recommentions. The step listein C will help ensure the fair treatment of clients. Answer A mhave negative effects on the fair treatment of clients. The more people who know about a penng change, the greater the chanthsomeone will inform some clients before the information’s release. The firm shoulestablish policies thlimit the number of people who are aware in aantha recommention is to sseminate Answer stributing recommentions to institutionclients before stributing them to inviaccounts, scriminates among clients on the basis of size anclass of assets anis a violation of StanrIII(B). 老师这个C说最小化做决策和发布信息的时间,我一开始的理解是客户做投资决策的时间和发布给客户信息的时间。这不就相当于老师一直强调的7 mininuts的 那个case吗?通知了客户投资建议之后,7分钟就开始做交易了。违反了confliof interest。

2022-05-11 22:05 1 · 回答

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2020-10-08 08:23 1 · 回答

为什么c可以做到公平对待?麻烦老师在一下

2019-03-31 16:51 1 · 回答