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stacie · 2019年05月15日

问一道题:NO.PZ2016040301000002 [ CFA II ]

问题如下图:

选项:

A.

B.

C.

解释:

请问A会不会违反fair dealing, 给这个客户买了会不会侵占别的客户的利益呢?

1 个答案

包包_品职助教 · 2019年05月15日

同学你好,不会。fair dealing是指在trading的时候要公平对待每个客户。

但是这个基金经理用客户的佣金帮这个客户购买产品和服务并不涉及交易,所以不会侵占别的客户的利益。

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