请问根据题干客户的IPS是随便copy其他客户,如果IPS都不对 buy order怎么会对呢?
问题如下图:
选项:
A.
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C.
解释:
NO.PZ201604030100004304 问题如下 4. es Telline violate any CFA Institute Stanr when he places the buy orr for shares in the technology company for Caper’s account? A.No. B.Yes, relating to fair aling. C.Yes, relating to ligenanreasonable basis. A is correct.Telline is careful to consir the investment’s suitability for Caper’s account. Telline’s actions are consistent with CFA Institute Stanr III(–Loyalty, Prunce, anCare anIII(–Fair aling. Telline termines ththe other client es not have the cash available in his account anselling existing holngs es not make sense. thclient es not have cash available in his account anTelline termines thselling existing holngs es 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 aling的吧
怎么看出就没违法,第一个复制类似客户的情况,然后没有告知其他客户,文章说得太模凌两可了,怎么判断出来没有违规?
这道题,是不是应该给同样风险的其他客户先通知一下这个事情比较合理?就因为账户现金不够就不用管了?