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Ruthlessbaby · 2020年09月18日

问一道题:NO.PZ201604030300004402 第2小题 [ CFA III ]

* 问题详情,请 查看题干

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
1 个答案

王暄_品职助教 · 2020年09月20日

嗨,努力学习的PZer你好:


不需要啦,解析给的详细而已~


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努力的时光都是限量版,加油!