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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

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