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

Marina_0122 · 2021年07月11日

问一道题:NO.PZ2016040303000011 [ CFA III ]

问题如下:

Which one of the following actions will help to ensure the fair treatment of brokerage firm clients when a new investment recommendation is made?

选项:

A.

Informing all people in the firm in advance that a recommendation is to be disseminated.

B.

Distributing recommendations to institutional clients prior to individual accounts.

C.

Minimizing the time between the decision and the dissemination of a recommendation.

解释:

C  is correct.

This question, which relates to Standard III(B) –Fair Dealing, tests the knowledge of the procedures that will assist members and candidates in treating clients fairly when making investment recommendations. The step listed in C will help ensure the fair treatment of clients. Answer A may have negative effects on the fair treatment of clients. The more people who know about a pending change, the greater the chance that someone will inform some clients before the information’s release. The firm should establish policies that limit the number of people who are aware in advance that a recommendation is to be disseminated. Answer B, distributing recommendations to institutional clients before distributing them to individual accounts, discriminates among clients on the basis of size and class of assets and is a violation of Standard III(B).

B是什么意思?不是要先通知个人客户 然后自己才能交易吗?是因为没有说明要给客户反应的时间所以错吗?
1 个答案
已采纳答案

王暄_品职助教 · 2021年07月12日

注意B选项说的是:先把建议发送给机构客户(Institutional Clients),再给个人客户(Individual accounts),这不属于Fair Dealing,损害了个人客户的利益