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木木__ · 2019年05月24日

问一道题:NO.PZ2016040301000030

问题如下图:

    

选项:

A.

B.

C. 请问老师SOFT DOLLOR是否必须披露,这个考点在今年二级是不是已经取消

解释:



1 个答案

包包_品职助教 · 2019年05月24日

同学你好,这个考点没有被取消。

只是对于soft dollar 而言,我们强调的是soft dollar 我们可不可以收。standards 规定 只有是直接有利于帮客户做投资建议的,我们才可以收。

而批露主要是针对于利益冲突、additional compensation的。

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