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西红柿面 · 2025年01月07日

上一题不是刚说了没有必要一定按照客户的要求来吗? 为啥这里又说必须要按照客户要求来

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NO.PZ201604030300004905

问题如下:

5. To comply with both the required and recommended standards of the Asset Manager Code, must Bornelli honor Rossi’s telephone request regarding an itemization of fees?

选项:

A.

Yes.

B.

No, because the firm is not required to disclose the amount of incentive fee charged to an individual client.

C.

No, because unless the firm claims compliance with the Soft Dollar Standards, it is not required to disclose the amount of commissions paid on clients’ behalf.

解释:

A is correct.

According to the recommendations of Section F(4d) of the Asset Manager Code, managers should disclose to each client the actual fees and other costs charged to them, together with itemizations of such charges, when requested by clients. The disclosure should include the specific management fee, incentive fee, and the amount of commissions paid on clients’ behalf during the period.

上一题不是刚说了没有必要一定按照客户的要求来吗? 为啥这里又说必须要按照客户要求来

1 个答案

王暄_品职助教 · 2025年01月08日

根据F(4d)要求,管理人应当披露给客户实际收取的费用和其他成本,包括这些费用的明细。因此,Bornelli必须满足Rossi关于费用明细的电话请求。

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