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FrankSun · 2020年11月01日

2019Mock第15题

Wang Dazong, CFA, is a sole proprietor investment advisor. Dazong believes in putting his money at risk along with his clients and trades the same securities as his clients. In order to ensure fair treatment of all accounts, he rotates trade allocations so that each account has an equal likelihood of receiving a fill on their orders. This allocation procedure also applies to Dazong's own account. According to the CFA Institute Code of Ethics and Standards of Professional Conduct, the allocation procedure used by Dazong:

A complies with the Standards.

B requires revision to ensure client trades take precedence.

C should be disclosed and written approval received from clients.

老师,这道题不是特别明白为什么违反了。答案也没有看明白,谢谢指导!

1 个答案

Debrah_品职答疑助手 · 2020年11月02日

嗨,爱思考的PZer你好:


根据准则VI(B)–要求客户交易优先于CFA本人。所以违反。


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就算太阳没有迎着我们而来,我们正在朝着它而去,加油!


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