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506623496 · 2021年09月22日

这道题是不用计算吗？

  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.

这道题是无法计算出1800，根据表述判断是否适合该客户的吗？

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王暄_品职助教 · 2021年09月23日

这1800，仅根据题目给的条件，无从得知是如何计算的。由于还是道德题目，我们还是需要根据表述判断改客户是否合适的。

AL · 2021年11月10日

*Minimum annual fee of $1,000 billed quarterly. 請問這句是咋理解 1000分4期？ 還有那個1800 是35 x 52 ？

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