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一只可爱的猪 · 2020年03月05日

问一道题: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).

我不太明白这道题目中的decision指的是什么意思?什么叫减少传播和做决定的间隔?

难道不是第一时间内通知所有的客户吗?

1 个答案
已采纳答案

发亮_品职助教 · 2020年03月06日

嗨,从没放弃的小努力你好:


“难道不是第一时间内通知所有的客户吗?”


对的,就是应该第一时间通知所有客户。



“我不太明白这道题目中的decision指的是什么意思?什么叫减少传播和做决定的间隔?”


Decision就是指做出投资建议,理论上应该在做出Decision的那一刻,就把信息传播给客户。

但是,从做决定,到真的传播信息,中间是有时滞的,比方打电话,发邮件都有一个操作的流程;

C选项说的Minimizing the time between the decision and the dissemination of a recommendation,就是缩短做出决策和传播信息之间的时滞。

也就是一旦做出决策,就别墨迹,立马跟客户说,以免中间有“内部人士”先于客户获得信息。所以时间差越短,越对客户有利。要起到对客户尽责,要追求的就是尽量缩短中间的时滞。


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努力的时光都是限量版,加油!


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