开发者:上海品职教育科技有限公司 隐私政策详情

应用版本:4.2.11(IOS)|3.2.5(安卓)APP下载

chyje2007 · 2018年09月09日

问一道题:NO.PZ2016032801000028 [ CFA I ]

问题如下图:

选项:

A.

B.

C.

解释:

老师能解释下这道题内容吗?看的不是很明白

1 个答案

品职辅导员_小明 · 2018年09月11日

这个题的意思是说,一个资产管理公司的C经理在用的A公司来做交易的执行,这个A公司之前提供的是更加全面的服务,即除了交易执行以外,还会通过soft dollar 安排来提供一些研究报告的服务,现在A公司为了吸引更多的业务,他们采用了一种费率更低但是不提供soft dollar研究服务的费率方案,C经理通过之前的合作一直觉得他们的交易执行做的挺好,而且新方案的费率和其他不提供soft dollar的交易商来比,也是符合市场水平的。因此C经理是可以接受这个新的方案,因为他做到了为客户选择“物美价廉”的交易商。

  • 1

    回答
  • 3

    关注
  • 1009

    浏览
相关问题

NO.PZ2016032801000028 问题如下 Carter works for Invest Toy, a locasset management firm. A broker thprovis Carter with proprietary researthrough client brokerage arrangements is offering a new trang service. The broker is offering low-fee, execution-only tras to complement its trationfull-service, execution-anreseartras. To entiCarter another asset managers to senaitionbusiness its way, the broker will apply the commissions paion the new servitowarsatisfying the brokerage commitment of the prior full-serviarrangements. Carter halways been satisfiewith the execution provion the full servitras, anthe new low-fee tras are comparable to the fees of other brokers currently usefor the accounts thprohibit soft llarrangements. A.Carter ctra for his accounts thprohibit soft llarrangements unr the new low-fee trang scheme. B.Carter cannot use the new trang scheme because the commissions are prohibitethe soft llrestrictions of the accounts. C.Carter shoultra only through the new low-fee scheme anshoulincrease his trang volume to meet his requirecommission commitment. A is correct.The question relates to StanrIII(–Loyalty, Prunce, anCare. Carter believes the broker offers effective execution a fee this comparable with those of other brokers, so he is free to use the broker for all accounts. Answer B is incorrebecause the accounts thprohibit soft llarrangements not want to funthe purchase of researCarter. The new trang scheme es not incur aitioncommissions from clients, so it woulnot go against the prohibitions. Answer C is incorrebecause Carter shoulnot incur unnecessary or excessive \"churning\" of the portfolios (excessive trang) for the purpose of meeting the brokerage commitments of soft llarrangements. To entiCarter another asset managers to senaitionbusiness its way, the broker will apply the commissions paion the new servitowarsatisfying the brokerage commitment of the prior full-serviarrangements.这段话怎么理解呢,就是用仅收交易的佣金,提供交易和研究的全方位服务?超额提供服务?另外comparable 是可比较的意思,在这个上下文里就是相当的意思吗,说明和其他不提供软美元的账户,费率基本一样?

2024-06-03 12:12 1 · 回答

Carter cannot use the new trang scheme because the commissions are prohibitethe soft llrestrictions of the accounts. Carter shoultra only through the new low-fee scheme anshoulincrease his trang volume to meet his requirecommission commitment. A is correct. The question relates to StanrIII(–Loyalty, Prunce, anCare. Carter believes the broker offers effective execution a fee this comparable with those of other brokers, so he is free to use the broker for all accounts. Answer B is incorrebecause the accounts thprohibit soft llarrangements not want to funthe purchase of researCarter. The new trang scheme es not incur aitioncommissions from clients, so it woulnot go against the prohibitions. Answer C is incorrebecause Carter shoulnot incur unnecessary or excessive  \"churning\" of the portfolios (excessive trang) for the purpose of meeting the brokerage commitments of soft llarrangements. 请翻译下a项的中文意思,谢谢?

2020-08-02 17:02 1 · 回答

可能是理解有问题,麻烦您做一下吗

2018-09-24 16:15 1 · 回答

题干中最后一句话的soft llinvest ment是什么意思,和前面的描述有什么联系呢。

2018-06-17 11:05 1 · 回答