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标题: Soft Dollars and ROS [打印本页]

作者: LorrinCFA    时间: 2011-7-13 05:09     标题: Soft Dollars and ROS

Anyone who has mastered both of these topics have any good tips? Does it need a close read of the CFAI text? Good item sets to practice on? Definitely a weak area for me.
作者: cv4cfa    时间: 2011-7-13 05:19

dude, Soft dollars and ROS is not that difficult.
作者: kkn006    时间: 2011-7-13 05:28

IMO, these together are one of the 5 hardest topics on the exam.
作者: huangxiaoxie    时间: 2011-7-13 05:38

Damil4real Wrote:
-------------------------------------------------------
> dude, Soft dollars and ROS is not that difficult.


have you done the mock exam yet?
i doubt you have.

u r right tho, basics are easy to understand, common sense.
but CFAI introduces a lot of names and relationships in the vigs that i cant keep track of, making the issue more convoluted.

I can't even keep track of my OWN relationships...
作者: comp_sci_kid    时间: 2011-7-13 05:48

passme Wrote:
-------------------------------------------------------
> Damil4real Wrote:
> --------------------------------------------------
> -----
> > dude, Soft dollars and ROS is not that
> difficult.
>
>
> have you done the mock exam yet?
> i doubt you have.
>
> u r right tho, basics are easy to understand,
> common sense.
> but CFAI introduces a lot of names and
> relationships in the vigs that i cant keep track
> of, making the issue more convoluted.
>
> I can't even keep track of my OWN relationships...

+1
作者: yodacaia    时间: 2011-7-13 06:07

By the way, got only one right answer in the EOC questions on soft dollar standards!!!
作者: liquidity    时间: 2011-7-13 06:17

It means you can't trade with John Smith Trading Brokerage based on the fact that they give you tons of client referrals


KDL23 Wrote:
-------------------------------------------------------
> Regarding soft dollors, there's a sentence that I
> do nit seem to understand: "An Investmt Manager
> may not allocate a Client's Brokerage based on the
> amount of Client referrals the Investment Manager
> receives from a Broker". What does that mean?
作者: mengxu    时间: 2011-7-13 06:26

Oh, that was as simple as that... Guess I'm getting a bit tired. I've been reading this same sentence for 15 minutes and could not figure out what it meant...

Thanks AndrewUHN
作者: thecfawannabe    时间: 2011-7-13 06:36

One question from me: can soft dollars in the form of cash rebate? For instance, if a fund manager place orders through a brokerage who offers cash back. Does this amount of cash can be treated as soft dollar if it is used in investment decision process to benefit clients?




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