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！

作者: AliceMei 时间: 2010-10-15 23:06

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？

作者: RONNIEJI 时间: 2010-10-16 05:25

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.

作者: RONNIEJI 时间: 2010-10-16 05:30

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

作者: AliceMei 时间: 2010-10-24 10:50

谢谢你！

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