Board logo

标题: Level 1 Ethnic 课后题 28 [打印本页]

作者: alice006    时间: 2014-8-26 00:48     标题: Level 1 Ethnic 课后题 28



本题正确项是A
请大致翻译一下题目,我不太明白soft dollar 在这题里的作用
我对A项的理解是在new low fee 的条件下可以trade,但A同时不是说prohibit了吗

图片附件: 03.jpg (2014-8-26 00:44, 279.58 KB) / 下载次数 2
http://forum.theanalystspace.com/attachment.php?aid=54668&k=0725374154e836874413552e68e85521&t=1732419081&sid=OKGcY5



图片附件: 03.jpg (2014-8-26 00:44, 279.58 KB) / 下载次数 0
http://forum.theanalystspace.com/attachment.php?aid=54669&k=816b955a45b53a8a3a2d5caaaf5e6c27&t=1732419081&sid=OKGcY5


作者: adjani.zhang    时间: 2014-8-29 11:24

1. 可以用该broker,因为new low-fee trades are comparable to the fees of others

2. 该broker对soft dollar的安排是错误的,commissions paid on the new service toward satisfying the brokerage commitment of the prior full-service arrangements
   
   原则上,哪个客户账户交易产生的soft dollar,属于该客户的财产,不得用于其他客户。
作者: superteh    时间: 2014-10-25 00:56

Apply commission paid on new service toward satisfying the brokerage commitment of the prior full-service arrangements 只是说明了该 broker 降价了.




欢迎光临 CFA论坛 (http://forum.theanalystspace.com/) Powered by Discuz! 7.2