开发者:上海品职教育科技有限公司 隐私政策详情

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yx9881 · 2020年04月21日

问一道题:NO.PZ2016040303000011

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).

选项A为什么错了?不是很明白

1 个答案
已采纳答案

王暄_品职助教 · 2020年04月22日

嗨,从没放弃的小努力你好:


选项A的意思是:在投资建议公开发布之前,让公司所有员工都知道此建议

  • 在建议公开发布前,知道建议的员工越多,那么越有可能内部员工会提前通知自己的客户促使他们事先交易。
  • 公司应该在作出决定后,尽快公开发布投资建议。所以选C

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