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marionking · 2020年11月08日

问一道题:NO.PZ2018062009000011

问题如下:

Alex, an analyst of brokerage firm. When making a new recommendation, he called the institutional clients in the morning and called the individual clients in the afternoon. Which of the following statements is most likely correct?

选项:

A.

He did not violate the standard.

B.

He violated the Standard on Misconduct.

C.

He violated the Standard on Fair Dealing.

解释:

C is correct.

According to Standard III(B) Fair Dealing, Alex should not discriminate against any clients. He should inform all his clients at the same time.

请问,如果投资经理的客户很多的话,投资经理是否可以先给机构类的VIP客户打电话,然后再给个人投资者打电话。因为电话通知的话,总是有个先后顺序。这样的行为,是否违反准则。如果违反的话,哪种程度的对客户差异化服务行为,是不违反准则的?

1 个答案

Debrah_品职答疑助手 · 2020年11月08日

嗨,从没放弃的小努力你好:


正如何老师上课的举例:可以先给所有的客户发邮件,这样做到了fair dealing的要求。然后再给重点客户电话说明。


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