NO.PZ202304110100000305
问题如下:
Is Aiklin’s policy with respect to IPO allocations consistent with required and recommended CFA Institute Standards?
选项:
A.
Yes.
B.
No, because the IPO policy disadvantages certain clients.
C.
No, because the different levels of service disadvantage certain clients.
解释:
The firm violates Standard III(B)–Fair Dealing. Under Aiklin’s policy, some clients for whom an IPO is suitable may not receive their pro-rata share of the issue. CFA Standards recommend that firms allocate IPOs on a pro-rata basis to clients, not to portfolio managers.
公司政策不是对每个客户都一样吗?翻译一下答案觉得公司政策不公平的那段。