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。