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周教授CFA金融课程:2019年CFA一二三级系列课程

hello 论坛还有人吗 求解

A money management firm has the following policy concerning new recommendations: When a new recommendation is made, each portfolio manager estimates the likely transaction size for each of their clients. Clients are notified of the new recommendation in the order of their estimated transaction size—largest first. All clients have signed a form where they acknowledge and consent to this allocation procedure. With respect to Standard III(B), Fair Dealing, this is:
A)
not a violation because the clients have signed the consent form.
B)
a violation of the standard.
C)
not a violation because the clients are aware of the policy.



Such a policy is a violation of the Standard and client acknowledgement and/or consent does not change that fact.

PM通知了所有的客户,为什么还是unfair呢?

When a new recommendation is made, each portfolio manager estimates the likely transaction size for each of their clients.  我也不理解。  这句话是不是指broker 决定哪些客人可以多买,哪些客人只能少买??
ethic是第几本书的, 等我我看完书后, 再来回答/。

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關鍵錯在 Clients are notified of the new recommendation in the order of their estimated transaction size—largest first
largest first 因為不管大還是小的客戶都應該要公平得到訊息
故違反fair dealing

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