开发者:上海品职教育科技有限公司 隐私政策详情

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Aaabby · 2020年03月11日

问一道题:NO.PZ201909300100000109

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问题如下:

9 As it relates to the trade policy document, ValleyRise should implement Yellow’s recommendation related to:

选项:

A.

the list of eligible brokers.

B.

a policy for the treatment of trade errors.

C.

a policy for over-the-counter derivatives trades.

解释:

B is correct.

Firms should have a policy in place for the treatment of trade errors. Errors from trading and any resulting gains/losses need to be disclosed to a firm’s compliance department and documented in a trade error log. The trade error log should include any related documentation and evidence that trade errors are resolved in a way that avoids adverse impact to the client.

A为什么不对呢?

1 个答案

吴昊_品职助教 · 2020年03月11日

 alter the list of eligible brokers to include only those that provide execution at the lowest possible trading cost. 交易成本不是越低就一定越好,我们知道交易成本不可避免,不同的情况适用不同的交易策略,如果只是一味地追求更低的交易成本,选错了交易策略,或者根本没有完成交易的目标,那也是不行的。A选项错在后半句:only those that provide execution at the lowest possible trading cost.