问题如下:
2. When recommending Brown convert to a PlusAccount, does Klein violate any CFA Institute Standards?
选项:
A. No.
B. Yes, relating to suitability.
C. Yes, relating to reasonable basis.
解释:
A is correct.
Klein does not violate CFA Standards when recommending a PlusAccount to Brown. His actions comply with Standard III(A) —Loyalty, Prudence, and Care; Standard III(C) —Suitability; and Standard V(A) —Diligence and Reasonable Basis. As required, he discloses the fee structure. Based on the fee structure and Brown’s annual commissions, the PlusAccount appears to be a suitable investment vehicle. By converting to PlusAccount status, Brown will incur an annual fee of $5,750 and save approximately $6,400 in annual brokerage commissions. The potential savings of approximately $650 provides a reasonable basis for recommending PlusAccount status.
做这道题还需要自己计算一下哪个佣金更便宜吗?考场上这样好浪费时间呀