【求助！】L1的BOOK1里道德准则的一个EXAMPLE 翻译, management, receiving, receive, accounts

AliceMei

In return for receiving account management business from broker X, a member directs trades to Broker X on the accounts referred to her by Broker X,as well as on other accounts as an incentive to Brker X to send her more account business.

我不是很懂这个例子说什么……求解释或者翻译。。receive account management是什么意思？more account business又是什么意思？

求指导！谢谢！

AliceMei

喔还有一句话是在guidence里的，不是很懂：

Make an immediate written report to employer detailing proposed compensation and services,if additonal to that provided by employer.

请问“if additonal to that provided by employer.”是什么意思呢？

RONNIEJI

此文大意就是：为了回报broker X 给与这个member 一些客户管理的生意，这个member 就直接与broker X交易了一些自己手头的客户，而且为了想从broker X那得到更多的生意，这个member还给与了broker X更多的客户资源。


这是duties to clients的吧，这明显违反了standard，未在客户书面允许下是不能把客户委托自己的生意交于别人的，因为这里没有提到broker X会给客户best price and execution.

RONNIEJI

if additonal to that provided by employer ，这半句就是说除了自己的employer提供的，不过这半句不重要，前半句是重点

AliceMei

谢谢你！