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Frances · 2024年09月18日

A选项

NO.PZ2024022002000107

问题如下:

In line with the best practices for adhering to the Standard on equitable treatment in a sizable organization, what should a member ideally do?

选项:

A.Provide varied service tiers to different clients according to their specific financial objectives.

B.Clearly communicate to clients and potential clients the criteria for choosing accounts for order inclusion.

C.Share the details of imminent investment advice with all company personnel to guarantee the fulfillment of every client's financial requirements.

解释:

Option B is correct. As per Standard III (B), Fair Dealing, it is essential for members and candidates to transparently explain to clients and prospective clients the methodology used for account selection in trade orders. Option A is incorrect because offering varied service levels to clients selectively is contrary to the principles of fair dealing. Option C is also incorrect as it is crucial to restrict the dissemination of impending investment advice within the organization to prevent premature information leakage.

A选项什么情况下是对的?记得之前有题选A,不过具体题目不记得了。

1 个答案

王暄_品职助教 · 2024年09月19日

选项A说:根据客户的具体财务目标为不同客户提供不同的服务层级。公平性原则要求对所有客户一视同仁,不因其财务状况、投资目标或其他因素而给予不同的待遇。

您说的应该是:我们可以提供不同的服务,但不同的服务价格应该事先全部披露给客户,让客户根据自己的需求进行选择。(而不是自己直接根据客户的目标提供不同的服务)

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