问题如下图：
选项：
A. 
B. 
C. 
解释：
发亮_品职助教 · 2020年03月12日
嗨，从没放弃的小努力你好：
“回绝了为什么是错的？”
这道题是这样，题目问根据Fair dealing这条准则，不推荐做？
B选项说，拒绝Mr. White的交易指令。
Tom只是一名Financial advisor，账户的交易权利在客户手上（White手上），所以他没有权利拒绝交易。
原先Tom是推荐Sell股票A，后面又改成了Buy股票A，然后客户White让他Sell股票A。
这种情况有可能是客户White只看到了Tom第一次的推荐Sell，而没有看到第二次改动之后的Buy，所以White才下了Sell order。所以，根据Fair dealing的要求，Tom应该先向White同学说一下，自己把推荐的Sell改成了Buy，先告知客户改了推荐，如果White同学执意要Sell，Tom同学可以向White分析一下风险，还不行的话，就应该执行Sell order。这是Fair dealing推荐的做法。
Tom的责任只是Recommendation，决策的权利还在客户。所以B的Reject错误。
-------------------------------虽然现在很辛苦，但努力过的感觉真的很好，加油！
NO.PZ2018062009000001问题如下 e to significant market changes, Tom, a financianalyst, plans to revise his recommention about stoA in investment report from “sell” to “buy”. Immeately, he emaileall his clients about this change. Then he ma telephone calls to severVIP clients anscussesome taileinformation about stoThe next y, Mr.White founTom to ma a sell orr of 1000 shares for stoTom rejectethe orr it is opposite to his recommention. Unr the Stanron Fair aling, whiof Tom’s actions is not recommenA.Email all his client soon possible.B.Rejethe orr of Mr. White.C.Call VIP clients only anscuss more informations with them. B is correct.StanrIII(Fair aling suggests the firm to shorten the time between cision anstribution of information. “Fair” es not me“equal”, therefore communication approacfferent among clients. Firm shoulsclose the fferent servilevels to clients. When the clients make opposite orr thanalyst suggeste analyst shoulensure the client hreceivehis suggest before placing the orr. If the client insists previous opinion, then Tom shoulcomply with Mr. White.准则 III(建议公司应当缩短做出决策与公布决策给大众之间的时间。“公平”并不意味着“相同”，所以与客户交流的方式可以有区别，但公司应当披露不同的服务标准给客户。当客户做出与分析师相反的决策时，分析师应该首先确保客户在真正做交易前的确收到了最新建议，若客户的确收到了最新建议，依然要坚持己见，那么分析师就应该遵循客户的选择。 正确答案b是推荐做法，题目是不是出错了
NO.PZ2018062009000001 问题如下 e to significant market changes, Tom, a financianalyst, plans to revise his recommention about stoA in investment report from “sell” to “buy”. Immeately, he emaileall his clients about this change. Then he ma telephone calls to severVIP clients anscussesome taileinformation about stoThe next y, Mr.White founTom to ma a sell orr of 1000 shares for stoTom rejectethe orr it is opposite to his recommention. Unr the Stanron Fair aling, whiof Tom’s actions is not recommen A.Email all his client soon possible. B.Rejethe orr of Mr. White. C.Call VIP clients only anscuss more informations with them. B is correct.StanrIII(Fair aling suggests the firm to shorten the time between cision anstribution of information. “Fair” es not me“equal”, therefore communication approacfferent among clients. Firm shoulsclose the fferent servilevels to clients. When the clients make opposite orr thanalyst suggeste analyst shoulensure the client hreceivehis suggest before placing the orr. If the client insists previous opinion, then Tom shoulcomply with Mr. White.准则 III(建议公司应当缩短做出决策与公布决策给大众之间的时间。“公平”并不意味着“相同”，所以与客户交流的方式可以有区别，但公司应当披露不同的服务标准给客户。当客户做出与分析师相反的决策时，分析师应该首先确保客户在真正做交易前的确收到了最新建议，若客户的确收到了最新建议，依然要坚持己见，那么分析师就应该遵循客户的选择。 A为啥不对，告知客户真实情况，客户还要坚持购买也没办法了呀
NO.PZ2018062009000001问题如下e to significant market changes, Tom, a financianalyst, plans to revise his recommention about stoA in investment report from “sell” to “buy”. Immeately, he emaileall his clients about this change. Then he ma telephone calls to severVIP clients anscussesome taileinformation about stoThe next y, Mr.White founTom to ma a sell orr of 1000 shares for stoTom rejectethe orr it is opposite to his recommention. Unr the Stanron Fair aling, whiof Tom’s actions is not recommen A.Email all his client soon possible. B.Rejethe orr of Mr. White. C.Call VIP clients only anscuss more informations with them. B is correct.StanrIII(Fair aling suggests the firm to shorten the time between cision anstribution of information. “Fair” es not me“equal”, therefore communication approacfferent among clients. Firm shoulsclose the fferent servilevels to clients. When the clients make opposite orr thanalyst suggeste analyst shoulensure the client hreceivehis suggest before placing the orr. If the client insists previous opinion, then Tom shoulcomply with Mr. White.准则 III(建议公司应当缩短做出决策与公布决策给大众之间的时间。“公平”并不意味着“相同”，所以与客户交流的方式可以有区别，但公司应当披露不同的服务标准给客户。当客户做出与分析师相反的决策时，分析师应该首先确保客户在真正做交易前的确收到了最新建议，若客户的确收到了最新建议，依然要坚持己见，那么分析师就应该遵循客户的选择。 Fair aling里面哪一条说了不执行客户的要求是违反了fair aing？Fair aling只提到了交易时经理要根据先后顺序，订单大小进行公平交易吧。
NO.PZ2018062009000001 Rejethe orr of Mr. White. Call VIP clients only anscuss more informations with them. B is correct. StanrIII(Fair aling suggests the firm to shorten the time between cision anstribution of information. “Fair” es not me“equal”, therefore communication approacfferent among clients. Firm shoulsclose the fferent servilevels to clients. When the clients make opposite orr thanalyst suggeste analyst shoulensure the client hreceivehis suggest before placing the orr. If the client insists previous opinion, then Tom shoulcomply with Mr. White. 准则 III(建议公司应当缩短做出决策与公布决策给大众之间的时间。“公平”并不意味着“相同”，所以与客户交流的方式可以有区别，但公司应当披露不同的服务标准给客户。当客户做出与分析师相反的决策时，分析师应该首先确保客户在真正做交易前的确收到了最新建议，若客户的确收到了最新建议，依然要坚持己见，那么分析师就应该遵循客户的选择。 不是要求分析师提供所有信息给客户吗，这里只把更详细的tail告诉了vip没告诉普通客户也不违反吗
Rejethe orr of Mr. White. Call VIP clients only anscuss more informations with them. B is correct. StanrIII(Fair aling suggests the firm to shorten the time between cision anstribution of information. “Fair” es not me“equal”, therefore communication approacfferent among clients. Firm shoulsclose the fferent servilevels to clients. When the clients make opposite orr thanalyst suggeste analyst shoulensure the client hreceivehis suggest before placing the orr. If the client insists previous opinion, then Tom shoulcomply with Mr. White.拒绝了为什么是违反公平交易。 要违反也是违反对客户忠诚吧