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粉红豹 · 2020年10月31日

问一道题:NO.PZ201604030300004402

* 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.

自己问:老师好,何老师讲了答案中5750的计算方法,请教下答案中的另外两个数字是怎么得来的,分别是6400,和650。谢谢

2 个答案

April_RUC · 2021年11月07日

没有问题,只想补充下6400应该是根据9100*70%得出的(6370四舍五入),Plus account的费用应该是annual fee加上打折后的commission,而不是只有annual fee

王暄_品职助教 · 2020年11月01日

同你之前问的那题一样,根据题目的条件,我们算不出答案给出的6400

我个人使用5750,和9100做对比,所以Brown使用PlusAccount合适

闫珅考试必过 · 2022年04月24日

为啥不加Minimum annual fee of $1,000 billed quarterly?应该是5750+1000?

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相关问题

NO.PZ201604030300004402 问题如下 2. When recommenng Brown convert to a PlusAccount, es Klein violate any CFA Institute Stanr? A.No. B.Yes, relating to suitability. C.Yes, relating to reasonable basis. A is correct.Klein es not violate CFA Stanr when recommenng a PlusAccount to Brown. His actions comply with StanrIII(—Loyalty, Prunce, anCare; StanrIII(—Suitability; anStanrV(—ligenanReasonable Basis. require he scloses the fee structure. Baseon the fee structure anBrown’s annucommissions, the PlusAccount appears to a suitable investment vehicle. converting to PlusAccount status, Brown will incur annufee of $5,750 ansave approximately $6,400 in annubrokerage commissions. The potentisavings of approximately $650 provis a reasonable basis for recommenng PlusAccount status. 老师,这个知识点学过吗?现在考吗没有印象啊

2022-08-23 16:14 1 · 回答

Yes, relating to suitability. Yes, relating to reasonable basis. A is correct. Klein es not violate CFA Stanr when recommenng a PlusAccount to Brown. His actions comply with StanrIII(—Loyalty, Prunce, anCare; StanrIII(—Suitability; anStanrV(—ligenanReasonable Basis. require he scloses the fee structure. Baseon the fee structure anBrown’s annucommissions, the PlusAccount appears to a suitable investment vehicle. converting to PlusAccount status, Brown will incur annufee of $5,750 ansave approximately $6,400 in annubrokerage commissions. The potentisavings of approximately $650 provis a reasonable basis for recommenng 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

2020-09-18 16:33 1 · 回答

    这题答案没什么疑问,想给教研组反映一下习题课里何老师把题干的5w看成了50w在讲,如果accountplus的限制是50w,则客户的30w不符合suitability,答案应该发生变化。希望教研组审阅查证。

2018-04-16 16:20 1 · 回答