NO.PZ2018062009000015
问题如下：
Albert is an investment adviser and Jessica is a new client of Albert. Before they met each other, Albert communicated with Jessica about the issues of investment by telephone. After the few minutes communication, Albert recommended Jessica to invest large-cap equities which met Jessica's requirement. Which of the following descriptions about Albert's performance is most accurate?
选项：
A.Albert should make a reasonable inquiry into Jessica's investment experience, risk and return objectives and constraints in finance before making any recommendations.
B.Albert should illustrate his qualifications and his past performance accurately before the recommendation.
C.Albert should disclose the reasonable basis on his recommendation to Jessica at first.
解释：
A is correct.
Albert violated Standard III(C) Suitability. Albert should make a reasonable inquiry into Jessica's investment experience, risk and return objectives and constraints in finance before making any recommendations. A few minutes telephone call is obviously not enough for an investment adviser to know his client perfectly.
Albert违反了准则III(C). Albert应该在做出建议之前全面了解Jessica的投资经历、风险容忍力、投资目标及限制。而短短几分钟的电话交流很明显无法让投资经理很好的了解客户。
RT
