开发者:上海品职教育科技有限公司 隐私政策详情

应用版本:4.2.11(IOS)|3.2.5(安卓)APP下载

一只可爱的猪 · 2021年05月02日

这道题不太明白

* 问题详情,请 查看题干

NO.PZ201604030100004303

问题如下:

3. The Standard least likely to provide guidance for Telline when working with the clients’ investment policy statements would be the Standard relating to:

选项:

A.

suitability.

B.

fair dealing.

C.

loyalty, prudence, and care.

解释:

B is correct.

Telline is not likely to receive appropriate guidance on developing or revising investment policy statements from the Standard relating to Fair Dealing. Standard III(B) provides members with guidance on treating clients fairly when making investment recommendations, providing investment analysis, or taking investment action. Telline could obtain guidance from the Standards relating to Loyalty, Prudence, and Care and Suitability. Both Standard III(A) and (C) provide guidance for members in determining client objectives and the suitability of investments.  

为什么是选这个呀?这道题目我不太懂

1 个答案

王暄_品职助教 · 2021年05月04日

其实这题问的是:T同学在看客户个人IPS,最没有违反哪条准则。对应的信息点是下面这段文字:

这里我们可以看出,T同学快速的看了别人的IPS,并且仿照别人的IPS去更新了Caper的IPS,并且没发现他们有不同的税收情况。所以违反了suitability这条,和对客户的忠诚这一条。


而最没有违反的就是B fair dealing,因为这里没有涉及fair dealing的问题


  • 1

    回答
  • 0

    关注
  • 778

    浏览
相关问题

NO.PZ201604030100004303问题如下 3. The Stanrleast likely to provi guinfor Telline when working with the clients’ investment polistatements woulthe Stanrrelating to:A.suitability.B.fair aling.C.loyalty, prunce, ancare.B is correct.Telline is not likely to receive appropriate guinon veloping or revising investment polistatements from the Stanrrelating to Fair aling. StanrIII(provis members with guinon treating clients fairly when making investment recommentions, proving investment analysis, or taking investment action. Telline coulobtain guinfrom the Stanr relating to Loyalty, Prunce, anCare anSuitability. Both StanrIII(an(provi guinfor members in termining client objectives anthe suitability of investments. 这种长文,如何找到每到题对应的原文段落,有些题做着做着,感觉就找不到原文线索了。看来答案分析,又觉得分析内容在原文中似乎过,又似乎没留下印象

2024-10-29 21:33 1 · 回答

这道题我理解成这个人给客户写投资计划的时候最不需要提供哪方面的指引?然后一般我们在写投资计划一般都不会涉及到公平对待这一方面?我是没有看文章而得出这个答案?

2020-03-10 22:08 1 · 回答

    请问老师,题干里说的是用别人的IPS直接改成了Caper的,没有说用套用IPS format,并且也特别强调了因为直接用别人的改,因此没考虑到两者不同的税务需求。并且这道题问的是when working with IPS statement,没有提到下面的交易行为呀。因此我选的是A,还请解答。谢谢。

2019-06-01 21:28 1 · 回答

    请问老师 这题他是根据其他的IPS改的,后面他说又进行了调整,那到底违不 违反A,根据后面一题老师给的答案又说不违反 ,应该怎么理解他 谢谢

2019-05-24 16:37 1 · 回答