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Hahahahaha · 2020年04月13日

问一道题:NO.PZ2016032801000011

问题如下:

Which one of the following actions will help to ensure the fair treatment of brokerage firm clients when a new investment recommendation is made?

选项:

A.

Informing all people in the firm in advance that a recommendation is to be disseminated.

B.

Distributing recommendations to institutional clients prior to individual accounts.

C.

Minimizing the time between the decision and the dissemination of a recommendation.

解释:

C is correct.

This question, which relates to Standard III(B) –Fair Dealing, tests the knowledge of the procedures that will assist members and candidates in treating clients fairly when making investment recommendations. The step listed in C will help ensure the fair treatment of clients. Answer A may have negative effects on the fair treatment of clients. The more people who know about a pending change, the greater the chance that someone will inform some clients before the information’s release. The firm should establish policies that limit the number of people who are aware in advance that a recommendation is to be disseminated. Answer B, distributing recommendations to institutional clients before distributing them to individual accounts, discriminates among clients on the basis of size and class of assets and is a violation of Standard III(B).

B问的individual account具体指什么?

1 个答案

王暄_品职助教 · 2020年04月13日

嗨,努力学习的PZer你好:


Individual accounts在这里指的是小客户,以个人为单位的客户。Brokerage通常有不同类型的客户,比如机构客户和个人客户,如果先发送信息给大型机构客户,就会造成individual accounts,也就是小客户的一定损失,这样是unfair。


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努力的时光都是限量版,加油!


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