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

返回

Rikki Wu · 2021年02月25日

但没有说这个account可以有best excution呀？

  1. CFA III
  2. Ethics

* 问题详情，请 查看题干

NO.PZ201604030300004401

问题如下：

1. When recommending Vanderon convert to a PlusAccount, does Klein violate any CFA Institute Standards of Professional Conduct?

选项：

A.

No.

B.

Yes, because he does not have a reasonable basis.

C.

Yes, because the account is unsuitable for Vanderon.

解释：

A is correct.

Klein does not violate the CFA Standards of Professional Conduct when recommending a PlusAccount to Vanderon. His actions comply with Standard III(A) — Loyalty, Prudence, and Care; Standard III(C) —Suitability; and Standard V(A) — Diligence and Reasonable Basis. As required, Klein discloses the fee structure associated with the PlusAccount. Based on the fee structure and Vanderon’s trading activity, the PlusAccount appears to be a suitable investment vehicle. By converting to PlusAccount status, Vanderon will incur an annual fee of $1,000 and eliminate approximately $1,800 in annual brokerage commissions. The potential savings of approximately $800 provides a reasonable basis for recommending PlusAccount status.

但没有说这个account可以有best excution呀？

添加评论
1 个答案

王暄_品职助教 · 2021年02月26日

正是因为没有提到best excution，我们默认两个account的excution相同

所以他这么做没问题

不可在道德题目里自己额外脑补，如果文章没提到，那么我们就不考虑这一点。如果他想考best execution，一定会提到的。

  • 1

    回答

  • 0

    关注

  • 649

    浏览
相关问题

NO.PZ201604030300004401 问题如下 1. When recommenng Vanron convert to a PlusAccount, es Klein violate any CFA Institute Stanr of ProfessionConct? A.No. B.Yes, because he es not have a reasonable basis. C.Yes, because the account is unsuitable for Vanron. A is correct.Klein es not violate the CFA Stanr of ProfessionConwhen recommenng a PlusAccount to Vanron. His actions comply with StanrIII(— Loyalty, Prunce, anCare; StanrIII(—Suitability; anStanrV(— ligenanReasonable Basis. require Klein scloses the fee structure associatewith the PlusAccount. Baseon the fee structure anVanron’s trang activity, the PlusAccount appears to a suitable investment vehicle. converting to PlusAccount status, Vanron will incur annufee of $1,000 aneliminate approximately $1,800 in annubrokerage commissions. The potentisavings of approximately $800 provis a reasonable basis for recommenng PlusAccount status. “When Vanron’s account reaches $50,000 in assets, Klein recommen conversion to a PlusAccount. He carefully explains thin a PlusAccount, both the cost of investment aianmany implementation costs are wrappeinto the management fee billeon a quarterly basis. Stoanboncommissions, he tells Vanron, are scounte70%. Klein informs Vanron thin a PlusAccount, she cbuy or sell thousan of mutufun or unit trusts (inclung those in whishe invests) for no commissions or transaction charges. He explains thPlusAccounts are ifor clients who tra often—or part of a perioc investment progrsuhers. Vanron rea through the sclosure materiproviKlein anaccepts his recommention.”前面几段关于PlusAccounts账户的背景介绍中并未提及对于股票和债券的交易佣金有70%的折扣，但是K在跟客户V介绍的时候有提及“Stoanboncommissions, he tells Vanron, are scounte70%”，默认是PlusAccounts账户的设定么？以为是K为了招揽客户自己编的，因此认为违反了准则。考试的时候遇到这种情况怎么判断？

2024-05-14 15:26 1 · 回答

NO.PZ201604030300004401 问题如下 1. When recommenng Vanron convert to a PlusAccount, es Klein violate any CFA Institute Stanr of ProfessionConct? A.No. B.Yes, because he es not have a reasonable basis. C.Yes, because the account is unsuitable for Vanron. A is correct.Klein es not violate the CFA Stanr of ProfessionConwhen recommenng a PlusAccount to Vanron. His actions comply with StanrIII(— Loyalty, Prunce, anCare; StanrIII(—Suitability; anStanrV(— ligenanReasonable Basis. require Klein scloses the fee structure associatewith the PlusAccount. Baseon the fee structure anVanron’s trang activity, the PlusAccount appears to a suitable investment vehicle. converting to PlusAccount status, Vanron will incur annufee of $1,000 aneliminate approximately $1,800 in annubrokerage commissions. The potentisavings of approximately $800 provis a reasonable basis for recommenng PlusAccount status. PlusAccount适用于 actively manage且资产达到50,000。请问老师，从哪里可以看出Vanron 是 actively manage。谢谢

2023-01-23 21:16 1 · 回答

NO.PZ201604030300004401问题如下1. When recommenng Vanron convert to a PlusAccount, es Klein violate any CFA Institute Stanr of ProfessionConct?A.No.B.Yes, because he es not have a reasonable basis.C.Yes, because the account is unsuitable for Vanron.A is correct.Klein es not violate the CFA Stanr of ProfessionConwhen recommenng a PlusAccount to Vanron. His actions comply with StanrIII(— Loyalty, Prunce, anCare; StanrIII(—Suitability; anStanrV(— ligenanReasonable Basis. require Klein scloses the fee structure associatewith the PlusAccount. Baseon the fee structure anVanron’s trang activity, the PlusAccount appears to a suitable investment vehicle. converting to PlusAccount status, Vanron will incur annufee of $1,000 aneliminate approximately $1,800 in annubrokerage commissions. The potentisavings of approximately $800 provis a reasonable basis for recommenng PlusAccount status.答案说不违反，因为确实可以省钱。1800应该是算不出来的，所以不能说可以省钱。然后只提了plus的各种费用，没有提他的return和risk表现如何符合客户的需求。应该是没有reasonable basis啊

2022-07-26 18:37 1 · 回答

NO.PZ201604030300004401问题如下1. When recommenng Vanron convert to a PlusAccount, es Klein violate any CFA Institute Stanr of ProfessionConct? A.No. B.Yes, because he es not have a reasonable basis. C.Yes, because the account is unsuitable for Vanron. A is correct.Klein es not violate the CFA Stanr of ProfessionConwhen recommenng a PlusAccount to Vanron. His actions comply with StanrIII(— Loyalty, Prunce, anCare; StanrIII(—Suitability; anStanrV(— ligenanReasonable Basis. require Klein scloses the fee structure associatewith the PlusAccount. Baseon the fee structure anVanron’s trang activity, the PlusAccount appears to a suitable investment vehicle. converting to PlusAccount status, Vanron will incur annufee of $1,000 aneliminate approximately $1,800 in annubrokerage commissions. The potentisavings of approximately $800 provis a reasonable basis for recommenng PlusAccount status.1.Minimum annufee of $1,000 billequarterly,是年费1000，每季度支付250吗？2.答案中的1800如何计算的?

2022-04-02 17:14 1 · 回答

NO.PZ201604030300004401 这道题是无法计算出1800，根据表述判断是否适合该客户的吗？

2021-09-22 14:25 1 · 回答