NO.PZ2016032801000011
问题如下：
Which one of the following actions will help to ensure the fair treatment of brokerage firm clients when a new investment recommendation is made?
选项：
A.
Informing all people in the firm in advance that a recommendation is to be disseminated.
B.
Distributing recommendations to institutional clients prior to individual accounts.
C.
Minimizing the time between the decision and the dissemination of a recommendation.
解释：
C is correct.
This question, which relates to Standard III(B) –Fair Dealing, tests the knowledge of the procedures that will assist members and candidates in treating clients fairly when making investment recommendations. The step listed in C will help ensure the fair treatment of clients. Answer A may have negative effects on the fair treatment of clients. The more people who know about a pending change, the greater the chance that someone will inform some clients before the information’s release. The firm should establish policies that limit the number of people who are aware in advance that a recommendation is to be disseminated. Answer B, distributing recommendations to institutional clients before distributing them to individual accounts, discriminates among clients on the basis of size and class of assets and is a violation of Standard III(B).
C这个decision我还理解成了，下单交易的时间，好像刚告诉客户，人家还来不及反应，这面就决定了，下单了。
