becool

In the last question, part 2,  is "investment process" the correct answer?

By the way, In question 1, (PM) is that the referred fee should be disclosed?

becool

one RM introduces a financial product (which is top fund or something) to a client. but he didn't get any special payment for selling it.

One question: what is the violation if only sell this product? (suitbility , representation,...?)
The other question: Is there any violation during the process? (No, Yes, need disclores, ...?)

becool

my ideas:
道德总结下:
1, analyst work at home.... 不违反
2, compliance manager: 违反没及时沟通 (forget the question?)
3, one analyst give low-risk, after research (medium risk), still give low-risk。 violate reasonable base?  (option or fact?)
4, proxy voting: 该disclose给潜在客户  The whole process is wrong, should not go with the will of companies
5, restricted list: 不违反? No.
6,只给客户介绍高收益的bond fund, 违反suitability. Same
7, 离职了，开新公司，present以前的业绩，即使经过公司同意. 违反，完全不能present以前的业绩？
。。。。。。

becool

是ABS不是MBS... 不过多半我错了， 我选了ABS,毕竟AAA RATE 不大可能， 有COPP BOND 这个选项么？
我记得只有TREASURY, AAA-BOND, EQUITY,ABS, BIG CORP EQUITY....

becool

8080, PM由个题 risk tolerance. above average, average , below?

becool

我选了fact and opinion.. 好像不能说央行要加息，
pro-rata 没错，不过弄错后修改错了。