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一只可爱的猪 · 2020年02月29日

问一道题:NO.PZ2018070201000129

问题如下:

A client is a director of a listed company. The law stipulates that it is not allowed to trade the company's stock at a certain time of the year. Which of the following is the proper action for the restriction on trading when writing an IPS for the client:

选项:

A.

need not be included in the IPS.

B.

should be included in the IPS.

C.

prohibits the manager from serving the client.

解释:

B is correct.

The IPS should include trade restrictions so that the manager will not inadvertently violate the restrictions.

为什么要放到IPS

1 个答案

丹丹_品职答疑助手 · 2020年03月01日

同学你好,本题考查R54-IPS部分内容,在为客户进行ips的时候需要弄清客户willingness &ability to take risk.显然,根据题干,由于法律要求客户有不能买的股票会影响他的投资能力。同学在分析是否影响ips部门时,可以结合以下部分进行思考。

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