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anyewumian · 2020年03月11日

问一道题:NO.PZ2018062009000001 [ CFA II ]

问题如下图:

选项:

A.

B.

C.

解释:

回绝了为什么是错的?
1 个答案

发亮_品职助教 · 2020年03月12日

嗨,从没放弃的小努力你好:


“回绝了为什么是错的?”


这道题是这样,题目问根据Fair dealing这条准则,不推荐做?

B选项说,拒绝Mr. White的交易指令。

Tom只是一名Financial advisor,账户的交易权利在客户手上(White手上),所以他没有权利拒绝交易。


原先Tom是推荐Sell股票A,后面又改成了Buy股票A,然后客户White让他Sell股票A。

这种情况有可能是客户White只看到了Tom第一次的推荐Sell,而没有看到第二次改动之后的Buy,所以White才下了Sell order。所以,根据Fair dealing的要求,Tom应该先向White同学说一下,自己把推荐的Sell改成了Buy,先告知客户改了推荐,如果White同学执意要Sell,Tom同学可以向White分析一下风险,还不行的话,就应该执行Sell order。这是Fair dealing推荐的做法。

Tom的责任只是Recommendation,决策的权利还在客户。所以B的Reject错误。


-------------------------------
虽然现在很辛苦,但努力过的感觉真的很好,加油!


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