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不矛盾

 

课本开始介绍 stardards IIB 时 在V1 P54页 第一段有提到相关内容:

Each client has unique needs, investment criteria, and investment objectives so that not all investment opportunities are suitable for all clients.

虽然在课本中没有找到明显的话语,但是联系上下文,这一整段都是例举fair dealing不包括或者不适用的情况(大概是这个意思,我也不知道怎么表达,大家读读就知道了)

并且在recommended procedures for compliance里,P56页 第二段:

although a member or candidate need not communicate a recommendation to all customers, the selection process by which customers receive information should be based on suitability and known interest, not on any preferrd or favored status.

这里指出了fair dealing是针对根据喜好或是可以获得benifit而对客户不一致的情况,而不是指在不合适客户的情况下,还需要向其提供建议

all customer我想是指所有需要这些建议的客户,我们应该fair dealing吧

 

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