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liutiegang · 2020年10月14日

问一道题:NO.PZ201604030300004603 第3小题 [ CFA III ]

* 问题详情,请 查看题干

问题如下:

3. With regard to Chen’s trades in Xydeo, do the institutional and retail trades both comply with CFA Institute Standards?

选项:

A.

Only the retail trades comply.

B.

Only the institutional trades comply.

C.

Neither the retail nor the institutional trades comply.

解释:

B is correct.

Only the institutional trades comply with CFA Institute Standards. All the trades were processed on a net basis. Because the firm disclosed that institutional orders may be executed on a net basis, the institutional trades did not result in a violation. The firm disclosed to clients that in riskless principal trades, retail clients will receive the same execution price without mark-up. Executing the retail orders on a net basis with a $.01 mark-up resulted in a violation of Standards I(C) and III(B) relating to misrepresentation and fair dealing.

老师您好,这个case的6个题,我就做对了第一题,请问哪里有视频详细讲解(我找了一下当前app里放出来的课程,没找到)?如果没有视频讲解,请把3-6题的关键要点都解释一下呗,谢谢。
1 个答案

王暄_品职助教 · 2020年10月15日

嗨,爱思考的PZer你好:


这题是原版书reading 3的课后题,我们已经准备好了课程,这两天就会将道德部分的课后题视频上线,请同学再等待一下哦,很快就上~


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