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标题: 问个道德题 [打印本页]

作者: 阿达就是我    时间: 2010-9-5 16:14     标题: 问个道德题

2009年NOTES上的。

 

Which of the following is least likely a violation of Standard III (B), Fair Dealing?

A. <一个肯定是错的选项>

B. After releasing a general recommendation to all clients, an analyst calls the firm's largest institutional clients to discuss the recommendation in more detail.

C. A portfolio manager allocates IPO shares to her brother's fee-based retirement account only if some remain after allocation shares to all otherclient accounts.

 

B肯定是正确答案,但是C貌似没有明显错误啊:因为她哥的账户可以视为一个普通的客户账户,在有剩余股权的情况下,不能随意给一个其他有意的客户吗?

 

谢谢!


作者: saryer    时间: 2010-9-5 21:14

因为他哥哥与其他客户有相同的优先权,而不是排在其他客户之后






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