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

little_back · 2021年06月22日

请问老师:A为什么不对?

NO.PZ2020020202000015

问题如下:

While the buy-side trader executes the BYYP trade, Harding and Yellow review ValleyRise’s trade policy document. After reviewing the document, Yellow recommends several changes: 1) add a policy for the treatment of trade errors; 2) add a policy that ensures over-the-counter derivatives are traded on venues with rules that ensure minimum price transparency; and 3) alter the list of eligible brokers to include only those that provide execution at the lowest possible trading cost.

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.

请问老师:A为什么不对?在教材上知识点的哪里?

2 个答案
已采纳答案

吴昊_品职助教 · 2021年06月22日

嗨,从没放弃的小努力你好:


同学你好:

A选项对应的是: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.

考点是trade policy,对应基础班讲义P85-89。

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

little_back · 2021年06月22日

题目是不是漏了后半句?

吴昊_品职助教 · 2021年06月22日

嗨,努力学习的PZer你好:


题干中有后半句

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

  • 2

    回答
  • 0

    关注
  • 1161

    浏览
相关问题

NO.PZ2020020202000015 问题如下 While the buy-si trar executes the BYYP tra, Harng anYellow review ValleyRise’s tra policument. After reviewing the cument, Yellow recommen severchanges: 1) a a polifor the treatment of tra errors; 2) a a polithensures over-the-counter rivatives are traon venues with rules thensure minimum pritransparency; an3) alter the list of eligible brokers to inclu only those thprovi execution the lowest possible trang cost.it relates to the tra policument, ValleyRise shoulimplement Yellow’s recommention relateto: A.the list of eligible brokers. B.a polifor the treatment of tra errors. C.a polifor over-the-counter rivatives tras. B is correct.Firms shoulhave a poliin plafor the treatment of tra errors. Errors from trang anany resulting gains/losses neeto scloseto a firm’s complianpartment ancumentein a tra error log. The tra error log shoulinclu any relatecumentation anevinthtra errors are resolvein a wthavoi aerse impato the client. OTC场外衍生品的交易是在场外市场进行,不通过交易所的双边协议确实是价格不公开的,C好像也没说错?对于最小化tracking error那个,对于主动投资者来说,不应该是最小话tracking error,而是更prefer large trackingerror吧?

2024-02-25 18:41 1 · 回答

NO.PZ2020020202000015 问题如下 While the buy-si trar executes the BYYP tra, Harng anYellow review ValleyRise’s tra policument. After reviewing the cument, Yellow recommen severchanges: 1) a a polifor the treatment of tra errors; 2) a a polithensures over-the-counter rivatives are traon venues with rules thensure minimum pritransparency; an3) alter the list of eligible brokers to inclu only those thprovi execution the lowest possible trang cost.it relates to the tra policument, ValleyRise shoulimplement Yellow’s recommention relateto: A.the list of eligible brokers. B.a polifor the treatment of tra errors. C.a polifor over-the-counter rivatives tras. B is correct.Firms shoulhave a poliin plafor the treatment of tra errors. Errors from trang anany resulting gains/losses neeto scloseto a firm’s complianpartment ancumentein a tra error log. The tra error log shoulinclu any relatecumentation anevinthtra errors are resolvein a wthavoi aerse impato the client. 問什麼?

2022-05-09 20:12 1 · 回答

NO.PZ2020020202000015 a polifor the treatment of tra errors. a polifor over-the-counter rivatives tras. B is correct. Firms shoulhave a poliin plafor the treatment of tra errors. Errors from trang anany resulting gains/losses neeto scloseto a firm’s complianpartment ancumentein a tra error log. The tra error log shoulinclu any relatecumentation anevinthtra errors are resolvein a wthavoi aerse impato the client. 其他是为什么不对

2021-07-14 18:35 1 · 回答

2) a a polithensures over-the-counter rivatives are traon venues with rules thensure minimum pritransparen是不是错在不应该要求最小的价格透明性?

2020-10-29 16:16 1 · 回答