开发者:上海品职教育科技有限公司 隐私政策详情

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Carina9999 · 2022年08月01日

老师麻烦解释一下吧

* 问题详情,请 查看题干

NO.PZ201604030300004404

问题如下:

4. When recommending the mutual fund to Vanderon, does Klein violate any CFA Standards?

选项:

A.

No.

B.

Yes, relating to suitability.

C.

Yes, relating to referral fees.

解释:

C is correct.

Klein violates Standard VI(C) relating to Referral Fees because he fails to provide appropriate disclosure. The Standard states that members must disclose the nature of the consideration or benefit—for example, whether flat fee or percentage basis; one¬time or continuing benefit; based on performance—together with the estimated monetary value. Although Klein acknowledges receipt of referral fees from the fund, he does not disclose an estimated dollar value or the nature of the consideration.

题目中,披露了会有referal fee也不对吗?那是要详细披露包括具体费用才算正确做法吗

1 个答案

王暄_品职助教 · 2022年08月01日

是的,披露的内容必须详细,比如多少钱啊,这介绍费我是一次过收费,还是按百分比收费啊。这些必须要告知客户,只告诉客户我收介绍费了,这不够。