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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


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