开发者:上海品职教育科技有限公司 隐私政策详情

应用版本:4.2.11(IOS)|3.2.5(安卓)APP下载

kevinzhu · 2020年08月28日

问一道题:NO.PZ2018062009000001 [ CFA II ]

问题如下:

Due to significant market changes, Tom, a financial analyst, plans to revise his recommendation about stock A in investment report from “sell” to “buy”. Immediately, he emailed all his clients about this change. Then he made telephone calls to several VIP clients and discussed some detailed information about stock A. The next day, Mr.White found Tom to made a sell order of 1000 shares for stock A. Tom rejected the order as it is opposite to his recommendation. Under the Standard on Fair Dealing, which of Tom’s actions is not recommended?

选项:

A.

Email all his client as soon as possible.

B.

Reject the order of Mr. White.

C.

Call VIP clients only and discuss more informations with them.

解释:

B is correct.

Standard III(B) Fair dealing suggests the firm to shorten the time between decision and distribution of information. “Fair” does not mean “equal”, therefore communication approach can be different among clients. Firm should disclose the different service levels to clients. When the clients make an opposite order that analyst suggested, analyst should ensure the client has received his suggest before placing the order. If the client insists previous opinion, then Tom should comply with Mr. White.

选项C应该也是错了吧

1 个答案
已采纳答案

王暄_品职助教 · 2020年08月29日

嗨,从没放弃的小努力你好:


C选项Tom做的完全正确。Tom及时email了所有的客户,告诉所有的客户自己所做的改变,然后给VIP客户们打电话详细的讨论了细节,这个完全符合CFA准则。何老师上课说过,Fairly不等于equally,VIP客户们给了更多得钱,所以理应享有特殊得待遇,这是商业社会很正常的事。而且Tom给VIP客户们打电话讨论细节,并没有损害其他小客户的利益。


-------------------------------
就算太阳没有迎着我们而来,我们正在朝着它而去,加油!


  • 1

    回答
  • 0

    关注
  • 470

    浏览
相关问题

NO.PZ2018062009000001问题如下 e to significant market changes, Tom, a financianalyst, plans to revise his recommention about stoA in investment report from “sell” to “buy”. Immeately, he emaileall his clients about this change. Then he ma telephone calls to severVIP clients anscussesome taileinformation about stoThe next y, Mr.White founTom to ma a sell orr of 1000 shares for stoTom rejectethe orr it is opposite to his recommention. Unr the Stanron Fair aling, whiof Tom’s actions is not recommenA.Email all his client soon possible.B.Rejethe orr of Mr. White.C.Call VIP clients only anscuss more informations with them. B is correct.StanrIII(Fair aling suggests the firm to shorten the time between cision anstribution of information. “Fair” es not me“equal”, therefore communication approacfferent among clients. Firm shoulsclose the fferent servilevels to clients. When the clients make opposite orr thanalyst suggeste analyst shoulensure the client hreceivehis suggest before placing the orr. If the client insists previous opinion, then Tom shoulcomply with Mr. White.准则 III(建议公司应当缩短做出决策与公布决策给大众之间的时间。“公平”并不意味着“相同”,所以与客户交流的方式可以有区别,但公司应当披露不同的服务标准给客户。当客户做出与分析师相反的决策时,分析师应该首先确保客户在真正做交易前的确收到了最新建议,若客户的确收到了最新建议,依然要坚持己见,那么分析师就应该遵循客户的选择。 正确答案b是推荐做法,题目是不是出错了

2024-10-29 11:05 2 · 回答

NO.PZ2018062009000001 问题如下 e to significant market changes, Tom, a financianalyst, plans to revise his recommention about stoA in investment report from “sell” to “buy”. Immeately, he emaileall his clients about this change. Then he ma telephone calls to severVIP clients anscussesome taileinformation about stoThe next y, Mr.White founTom to ma a sell orr of 1000 shares for stoTom rejectethe orr it is opposite to his recommention. Unr the Stanron Fair aling, whiof Tom’s actions is not recommen A.Email all his client soon possible. B.Rejethe orr of Mr. White. C.Call VIP clients only anscuss more informations with them. B is correct.StanrIII(Fair aling suggests the firm to shorten the time between cision anstribution of information. “Fair” es not me“equal”, therefore communication approacfferent among clients. Firm shoulsclose the fferent servilevels to clients. When the clients make opposite orr thanalyst suggeste analyst shoulensure the client hreceivehis suggest before placing the orr. If the client insists previous opinion, then Tom shoulcomply with Mr. White.准则 III(建议公司应当缩短做出决策与公布决策给大众之间的时间。“公平”并不意味着“相同”,所以与客户交流的方式可以有区别,但公司应当披露不同的服务标准给客户。当客户做出与分析师相反的决策时,分析师应该首先确保客户在真正做交易前的确收到了最新建议,若客户的确收到了最新建议,依然要坚持己见,那么分析师就应该遵循客户的选择。 A为啥不对,告知客户真实情况,客户还要坚持购买也没办法了呀

2024-07-08 13:10 1 · 回答

NO.PZ2018062009000001问题如下e to significant market changes, Tom, a financianalyst, plans to revise his recommention about stoA in investment report from “sell” to “buy”. Immeately, he emaileall his clients about this change. Then he ma telephone calls to severVIP clients anscussesome taileinformation about stoThe next y, Mr.White founTom to ma a sell orr of 1000 shares for stoTom rejectethe orr it is opposite to his recommention. Unr the Stanron Fair aling, whiof Tom’s actions is not recommen A.Email all his client soon possible. B.Rejethe orr of Mr. White. C.Call VIP clients only anscuss more informations with them. B is correct.StanrIII(Fair aling suggests the firm to shorten the time between cision anstribution of information. “Fair” es not me“equal”, therefore communication approacfferent among clients. Firm shoulsclose the fferent servilevels to clients. When the clients make opposite orr thanalyst suggeste analyst shoulensure the client hreceivehis suggest before placing the orr. If the client insists previous opinion, then Tom shoulcomply with Mr. White.准则 III(建议公司应当缩短做出决策与公布决策给大众之间的时间。“公平”并不意味着“相同”,所以与客户交流的方式可以有区别,但公司应当披露不同的服务标准给客户。当客户做出与分析师相反的决策时,分析师应该首先确保客户在真正做交易前的确收到了最新建议,若客户的确收到了最新建议,依然要坚持己见,那么分析师就应该遵循客户的选择。 Fair aling里面哪一条说了不执行客户的要求是违反了fair aing?Fair aling只提到了交易时经理要根据先后顺序,订单大小进行公平交易吧。

2022-04-09 10:26 1 · 回答

NO.PZ2018062009000001 Rejethe orr of Mr. White. Call VIP clients only anscuss more informations with them. B is correct. StanrIII(Fair aling suggests the firm to shorten the time between cision anstribution of information. “Fair” es not me“equal”, therefore communication approacfferent among clients. Firm shoulsclose the fferent servilevels to clients. When the clients make opposite orr thanalyst suggeste analyst shoulensure the client hreceivehis suggest before placing the orr. If the client insists previous opinion, then Tom shoulcomply with Mr. White. 准则 III(建议公司应当缩短做出决策与公布决策给大众之间的时间。“公平”并不意味着“相同”,所以与客户交流的方式可以有区别,但公司应当披露不同的服务标准给客户。当客户做出与分析师相反的决策时,分析师应该首先确保客户在真正做交易前的确收到了最新建议,若客户的确收到了最新建议,依然要坚持己见,那么分析师就应该遵循客户的选择。 不是要求分析师提供所有信息给客户吗,这里只把更详细的tail告诉了vip没告诉普通客户也不违反吗

2022-01-08 16:38 3 · 回答

Rejethe orr of Mr. White. Call VIP clients only anscuss more informations with them. B is correct. StanrIII(Fair aling suggests the firm to shorten the time between cision anstribution of information. “Fair” es not me“equal”, therefore communication approacfferent among clients. Firm shoulsclose the fferent servilevels to clients. When the clients make opposite orr thanalyst suggeste analyst shoulensure the client hreceivehis suggest before placing the orr. If the client insists previous opinion, then Tom shoulcomply with Mr. White.拒绝了为什么是违反公平交易。 要违反也是违反对客户忠诚吧

2020-11-28 15:57 1 · 回答