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?
能不能明确一下这里呃commission具体指的是什么呢?如果是给funmanager的佣金,为什么不能用于operating呢?谢谢
c为什么不对
Client brokerage commissions shouluseto benefit the client anshoulcommensurate with the value of the brokerage anresearservices receive Client brokerage commissions mrecteto pfor the investment manager’s operating expenses. C is correct. This question involves StanrIII(–Loyalty, Prunce, anCare anthe specific topic of soft llars or soft commissions. Answer C is the correchoibecause client brokerage commissions mnot recteto pfor the investment manager’s operating expenses. Answer B scribes how members ancantes shoultermine how to use brokerage commissions—this, if the use is in the best interests of clients anis commensurate with the value of the services provi Answer A scribes a practithis commonly referreto \"rectebrokerage.\" Because brokerage is asset of the client anis useto benefit the client, not the manager, supracties not violate a ty of loyalty to the client. Members ancantes are obligatein all situations to sclose to clients their practices in the use of client brokerage commissions. 老师请问,B将Commission 替换成Soft llar也是同样正确吧?
Client brokerage commissions shouluseto benefit the client anshoulcommensurate with the value of the brokerage anresearservices receive Client brokerage commissions mrecteto pfor the investment manager’s operating expenses. C is correct. This question involves StanrIII(–Loyalty, Prunce, anCare anthe specific topic of soft llars or soft commissions. Answer C is the correchoibecause client brokerage commissions mnot recteto pfor the investment manager’s operating expenses. Answer B scribes how members ancantes shoultermine how to use brokerage commissions—this, if the use is in the best interests of clients anis commensurate with the value of the services provi Answer A scribes a practithis commonly referreto \"rectebrokerage.\" Because brokerage is asset of the client anis useto benefit the client, not the manager, supracties not violate a ty of loyalty to the client. Members ancantes are obligatein all situations to sclose to clients their practices in the use of client brokerage commissions. 老师请问,为何A不会违反Suitability以及其他客户的利益?
老师,这里面client brokerage commmision是指的soft llar么? 也没说具体因为什么得的commission, 但是因为说到了client 这个词,大概就是soft llar了吧(还是harllar)----因为介绍客户给这个broker而和broker获得的commission ? 因为这里面是说收到钱,而不是service,所以就要用这个钱去买serviwhibenefit client对么?