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Erinwu · 2020年09月23日

问一道题:NO.PZ201604030300004804

* 问题详情,请 查看题干

问题如下:

4. Does Danko’s decision to purchase shares that are recommended as a "strong buy" violate the CFA Institute Standards?

选项:

A.

No.

B.

Yes, because Danko must have a reasonable and adequate basis prior to purchasing the shares.

C.

Yes, because Danko must give non-discretionary accounts the opportunity to purchase equities at the same time he purchases equities in the discretionary accounts.

解释:

B is correct.

Investment decision-making due to speed or based on third-party research alone is insufficient for meeting the standard set by Standard V(A).

可以区别对待discretional和non-discretional客户的交易么?

1 个答案

王暄_品职助教 · 2020年09月24日

嗨,努力学习的PZer你好:


不可以不公平对带任何客户。但可以有区别,且区别需要公不。


-------------------------------
努力的时光都是限量版,加油!


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