NO.PZ202304110100000304
问题如下：
Does Telline violate any CFA Institute Standards when he places the buy order for shares in the technology company for Caper’s account?
选项：
A.No.
Yes, relating to fair dealing.
Yes, relating to diligence and reasonable basis.
解释：
Telline is careful to consider the investment’s suitability for Caper’s account. Telline’s actions are consistent with CFA Institute Standards III(A)–Loyalty, Prudence, and Care and III(B)–Fair Dealing. Telline determines that the other client does not have the cash available in his account and selling existing holdings does not make sense.
老师，请问这里另一个客户也有相同风险偏好，但因为账户钱不够且T认为卖其他股票也不合适，所以就没给另一个客户买。这里是不是有违反fair dealing的嫌疑呢？虽然T做过判断了，但是他是不是应该至少通知到这个客户呢？客户可以决定给账户打钱来买这个股票呀，现在客户都不知道这个事儿。
