executing orders with some recommendations on choices made by the client.這句話不是說他只負(fù)責(zé)執(zhí)行客戶的選擇嗎？他又不推薦order，我記得老師講的是沒有推薦任務(wù)的人不對(duì)客戶負(fù)責(zé)啊。不懂
老師，不懂為啥違規(guī)了。她收的這個(gè)軟美元不就是讓客戶直接收益的嗎？還是說是因?yàn)闆]有向客戶披露違規(guī)了？但如果是因?yàn)闆]有披露，也不應(yīng)該是違規(guī)了c選項(xiàng)說的那個(gè)條款啊
老師，軟美元一般可以購(gòu)買什么。我記得老師上課講了兩個(gè)例子，我忘記在哪里了
老師，不明白這一節(jié)老師講的例題中說主人公自己的賬戶優(yōu)先于雇主的賬戶，我沒有看出來哪里體現(xiàn)這個(gè)了
是不是只有直系親屬才用披露
a) A large client of yours asked you whether a stock is a ‘good one to buy’. You read about the company briefly in the Wall Street Journal because you noticed an ETF you held included it. You tell your client it is a good investment. b) You held your last job at a manager level, and you had two direct employees. You performed some of the duties of the Assistant Director because that role had not been filled while you were the manager. On your resume, you say you were the Assistant Director. c) Your clients complain to your Managing Director because they have seen you intoxicated and being loud and aggressive to other patrons in a local bar several times last month.
老師，30題理解c為啥正確。但不懂為啥不能選b。用軟美元報(bào)名cfa不是違規(guī)的嗎？還有就是c里面brokerage commission是軟美元的意思嗎
老師，28題題目沒有理解答案也沒有理解
老師，我現(xiàn)在明白了為啥選c，但是我認(rèn)為b也是錯(cuò)的吧。題干說的是any advisor，只要能帶來200000的的投資。原來課程里講的是對(duì)于這種外部的經(jīng)理，不是要從四個(gè)方面考察嗎。為什么說只要能帶來錢的投資就能成為經(jīng)理呢？所以我認(rèn)為b不對(duì)
老師，不懂21題的bc選項(xiàng)。沒有理解b選項(xiàng)的意思已經(jīng)為啥選b。我認(rèn)為c選項(xiàng)應(yīng)該披露啊
老師我，想問下第十題的c選項(xiàng)為什么不能選政府立法這個(gè)事情不就是uncertain的嗎？主人公不就是根據(jù)這個(gè)uncertain的立法寫的report嗎？不理解c為啥不對(duì)
老師，不明白為什么B不合適。你看題目說她把報(bào)告交給營(yíng)銷部是一個(gè)immediate dissemination，那她也沒有通知說她要修改，然后營(yíng)銷部也不知道直接立刻把報(bào)告發(fā)了出去。那咋辦。B選項(xiàng)相當(dāng)于趕緊給上邊領(lǐng)導(dǎo)說出錯(cuò)了要修改，不是更好嗎
老師，拍了兩張圖片，想問下13題和19題。想問下19題為啥c不能選~13題為啥a不能選
選項(xiàng)3都違法了，題目有點(diǎn)問題
這個(gè)題目中的R是基於過去的表現(xiàn) 拿到客戶額外的報(bào)酬 沒有告知披露雇主的狀況下 並不違反利益衝突才對(duì)吧? 因?yàn)槭虑槎家呀?jīng)發(fā)生了 利益衝突早就過了
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