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Rikki Wu · 2021年02月25日

但没有说这个account可以有best excution呀？

  1. CFA III
  2. Ethics

* 问题详情，请 查看题干

NO.PZ201604030300004401

问题如下：

1. When recommending Vanderon convert to a PlusAccount, does Klein violate any CFA Institute Standards of Professional Conduct?

选项：

A.

No.

B.

Yes, because he does not have a reasonable basis.

C.

Yes, because the account is unsuitable for Vanderon.

解释：

A is correct.

Klein does not violate the CFA Standards of Professional Conduct when recommending a PlusAccount to Vanderon. 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, Klein discloses the fee structure associated with the PlusAccount. Based on the fee structure and Vanderon’s trading activity, the PlusAccount appears to be a suitable investment vehicle. By converting to PlusAccount status, Vanderon will incur an annual fee of $1,000 and eliminate approximately $1,800 in annual brokerage commissions. The potential savings of approximately $800 provides a reasonable basis for recommending PlusAccount status.

但没有说这个account可以有best excution呀？

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1 个答案

王暄_品职助教 · 2021年02月26日

正是因为没有提到best excution，我们默认两个account的excution相同

所以他这么做没问题

不可在道德题目里自己额外脑补，如果文章没提到，那么我们就不考虑这一点。如果他想考best execution，一定会提到的。

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