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

过儿 · 2022年04月06日

这题的B感觉是对的

NO.PZ2018062009000028

问题如下:

Smith, an analyst in a local asset management firm, covers Brazil equities and directs brokerage to Brazil who pays Smith’s briefing trip to Brazil through a soft dollar arrangement. Smith is not sure that the broker’s execution is competitive and he decides to use commission dollars to pay for his hotel expenses. Does Smith violate the Code and Standards?

选项:

A.

Yes, Smith violates Standard III(A) by not knowing whether the commissions charged by Brazil are reasonable and using commission dollars to pay hotel expenses.

B.

Yes, Smith violates Standard III(A) only by using commission dollars to pay hotel expenses.

C.

No, Smith doesn't violate Code and Standards.

解释:

A is correct.

Smith violates Standard III(A) by not exercising her duty of loyalty to her clients. He should have determined whether the commissions charged by Brazil are reasonable in relation to the benefit of the research provided by the trip. The hotel expenses should not be paid for with commission dollars, which is client's asset.

Smith因为没有对客户旅行忠诚的责任而违反了准则III(A)。他应该确定Brazil提供的旅行是否直接有利于帮助客户做投资决策。佣金不可以用来付旅行的费用,因为佣金依然属于客户的钱。

 not knowing whether the commissions charged by Brazil are reasonable这件事应该不违反3A吧,只有不利于客户投资决策的commission才违反

1 个答案

王暄_品职助教 · 2022年04月07日

看题干中的这句话:

Smith is not sure that the broker’s execution is competitive and he decides to use commission dollars to pay for his hotel expenses. 

因为Smith根本不确定broker的execution是否有竞争力,然后选了这家broker,所以他根本不知道这个commision的收费是否合理

所以not knowing whether the commissions charged by Brazil are reasonable也违反对客户的忠诚

  • 1

    回答
  • 0

    关注
  • 320

    浏览
相关问题

NO.PZ2018062009000028 问题如下 Smith, analyst in a locasset management firm, covers Brazil equities anrects brokerage to Brazil who pays Smith’s briefing trip to Brazil through a soft llarrangement. Smith is not sure ththe broker’s execution is competitive anhe cis to use commission llars to pfor his hotel expenses. es Smith violate the Co anStanr? A.Yes, Smith violates StanrIII(not knowing whether the commissions chargeBrazil are reasonable anusing commission llars to photel expenses. B.Yes, Smith violates StanrIII(only using commission llars to photel expenses. C.No, Smith esn't violate Co anStanr. A is correct.Smith violates StanrIII(not exercising her ty of loyalty to her clients. He shoulhave terminewhether the commissions chargeBrazil are reasonable in relation to the benefit of the researprovithe trip. The hotel expenses shoulnot paifor with commission llars, whiis client's asset.Smith因为没有对客户旅行忠诚的责任而违反了准则III(A)。他应该确定Brazil提供的旅行是否直接有利于帮助客户做投资决策。佣金不可以用来付旅行的费用,因为佣金依然属于客户的钱。 老师,soft llar只能用于为客户做投资决策的research,意思是题目中说的“巴西负责人通过软美元安排支付史密斯前往巴西的旅行费用”,这个去做research路上的旅行费用也能用soft llar吗?那去做research的时候吃的饭也能用soft llar吗?

2024-08-23 19:24 1 · 回答

NO.PZ2018062009000028问题如下 Smith, analyst in a locasset management firm, covers Brazil equities anrects brokerage to Brazil who pays Smith’s briefing trip to Brazil through a soft llarrangement. Smith is not sure ththe broker’s execution is competitive anhe cis to use commission llars to pfor his hotel expenses. es Smith violate the Co anStanr?A.Yes, Smith violates StanrIII(not knowing whether the commissions chargeBrazil are reasonable anusing commission llars to photel expenses.B.Yes, Smith violates StanrIII(only using commission llars to photel expenses.C.No, Smith esn't violate Co anStanr. A is correct.Smith violates StanrIII(not exercising her ty of loyalty to her clients. He shoulhave terminewhether the commissions chargeBrazil are reasonable in relation to the benefit of the researprovithe trip. The hotel expenses shoulnot paifor with commission llars, whiis client's asset.Smith因为没有对客户旅行忠诚的责任而违反了准则III(A)。他应该确定Brazil提供的旅行是否直接有利于帮助客户做投资决策。佣金不可以用来付旅行的费用,因为佣金依然属于客户的钱。 客户是巴西,经纪也是巴西?题干什么意思?

2024-03-27 23:15 1 · 回答

NO.PZ2018062009000028 问题如下 Smith, analyst in a locasset management firm, covers Brazil equities anrects brokerage to Brazil who pays Smith’s briefing trip to Brazil through a soft llarrangement. Smith is not sure ththe broker’s execution is competitive anhe cis to use commission llars to pfor his hotel expenses. es Smith violate the Co anStanr? A.Yes, Smith violates StanrIII(not knowing whether the commissions chargeBrazil are reasonable anusing commission llars to photel expenses. B.Yes, Smith violates StanrIII(only using commission llars to photel expenses. C.No, Smith esn't violate Co anStanr. A is correct.Smith violates StanrIII(not exercising her ty of loyalty to her clients. He shoulhave terminewhether the commissions chargeBrazil are reasonable in relation to the benefit of the researprovithe trip. The hotel expenses shoulnot paifor with commission llars, whiis client's asset.Smith因为没有对客户旅行忠诚的责任而违反了准则III(A)。他应该确定Brazil提供的旅行是否直接有利于帮助客户做投资决策。佣金不可以用来付旅行的费用,因为佣金依然属于客户的钱。 “covers Brazil equities anrects brokerage to Brazil who pays Smith’s briefing trip to Brazil through a soft llarrangement“ 这句话想表达什么意思?因为严格上是病句啊

2022-11-07 23:52 1 · 回答

NO.PZ2018062009000028 问题如下 Smith, analyst in a locasset management firm, covers Brazil equities anrects brokerage to Brazil who pays Smith’s briefing trip to Brazil through a soft llarrangement. Smith is not sure ththe broker’s execution is competitive anhe cis to use commission llars to pfor his hotel expenses. es Smith violate the Co anStanr? A.Yes, Smith violates StanrIII(not knowing whether the commissions chargeBrazil are reasonable anusing commission llars to photel expenses. B.Yes, Smith violates StanrIII(only using commission llars to photel expenses. C.No, Smith esn't violate Co anStanr. A is correct.Smith violates StanrIII(not exercising her ty of loyalty to her clients. He shoulhave terminewhether the commissions chargeBrazil are reasonable in relation to the benefit of the researprovithe trip. The hotel expenses shoulnot paifor with commission llars, whiis client's asset.Smith因为没有对客户旅行忠诚的责任而违反了准则III(A)。他应该确定Brazil提供的旅行是否直接有利于帮助客户做投资决策。佣金不可以用来付旅行的费用,因为佣金依然属于客户的钱。 RT,谢谢

2022-09-29 09:15 1 · 回答

NO.PZ2018062009000028 问题如下 Smith, analyst in a locasset management firm, covers Brazil equities anrects brokerage to Brazil who pays Smith’s briefing trip to Brazil through a soft llarrangement. Smith is not sure ththe broker’s execution is competitive anhe cis to use commission llars to pfor his hotel expenses. es Smith violate the Co anStanr? A.Yes, Smith violates StanrIII(not knowing whether the commissions chargeBrazil are reasonable anusing commission llars to photel expenses. B.Yes, Smith violates StanrIII(only using commission llars to photel expenses. C.No, Smith esn't violate Co anStanr. A is correct.Smith violates StanrIII(not exercising her ty of loyalty to her clients. He shoulhave terminewhether the commissions chargeBrazil are reasonable in relation to the benefit of the researprovithe trip. The hotel expenses shoulnot paifor with commission llars, whiis client's asset.Smith因为没有对客户旅行忠诚的责任而违反了准则III(A)。他应该确定Brazil提供的旅行是否直接有利于帮助客户做投资决策。佣金不可以用来付旅行的费用,因为佣金依然属于客户的钱。 答案“佣金不可以用来付旅行的费用,因为佣金依然属于客户的钱。”,那么B也是正确啊。

2022-06-27 22:25 1 · 回答