金程問(wèn)答
官網(wǎng)題Jorge Pe?a Case Scenario說(shuō)： Pe?a and Williams agree that his investment committee activities will not interfere with his duties at Harvest. 最后說(shuō)他可能violate additional compensation...但是interviewer不是已經(jīng)agree說(shuō)不會(huì)interfere了嗎？
請(qǐng)問(wèn)，如果今年設(shè)定了minimum asset level是100萬(wàn)，但是這個(gè)Portfolio在2018，2019都是90幾萬(wàn)，那在算歷史performance時(shí)候，要exclude this portfolio嗎？還是從今年開(kāi)始才用這個(gè)標(biāo)準(zhǔn)？
第3句話(huà)跟客戶(hù)在soft dollar里舉得關(guān)于普通客戶(hù)（執(zhí)行）跟（執(zhí)行+研報(bào)）客戶(hù)的例子不太一樣，standard中說(shuō)commission是公司利潤(rùn)，可以用于補(bǔ)償后者客戶(hù)，但是后者客戶(hù)多支付的部分才算軟美元，而這里說(shuō)的是commission不能用于公司經(jīng)營(yíng)，這個(gè)怎么理解？
官網(wǎng)mockA，下午題27題。答案解析是Standard IV(A) is the requirement that members and candidates abstain from independent competitive activity that could conflict with the interests of theiremployer. 為什么不選擇C violates the Standards because Booth did not receive prior approval from his employer.
請(qǐng)問(wèn)官網(wǎng)里面有道題目，這個(gè)人說(shuō)，There was a problem with NGM’s IPO allocation algorithm. Initially, you were overallocated. When we discovered the error, your account was adjusted，這句話(huà)哪里錯(cuò)了？
精 假設(shè)在sidecar的時(shí)候，在所有符合條件的客戶(hù)中只允許資產(chǎn)超100萬(wàn)的客戶(hù)可以參與，是不是就違反了“機(jī)會(huì)公平”原則？
老師您好，這句話(huà)的意思不是說(shuō)雖然transaction cost不能區(qū)分出來(lái)，但是也從ｒｅｔｕｒｎ中減去嗎？為什么不對(duì)？
請(qǐng)問(wèn)，下面官網(wǎng)題中，Long是養(yǎng)老金的人啊，就是客戶(hù)，客戶(hù)被investemnt manager邀請(qǐng)，應(yīng)該都可以接受吧？那如果invest manager想給客戶(hù)組織一個(gè)豪華旅行，客戶(hù)可以接手??？Q. Long has been asked to be the keynote speaker at an upcoming investment conference. The event is being hosted by one of the third-party investment managers currently used by his pension fund. The manager offers to cover all conference and travel costs for Long and make the conference registrations free for three additional members of his investment management team. To ensure that the conference obtains the best speakers, the host firm has arranged for an exclusive golf outing for the day following the conference on a local championship-caliber course.
這個(gè)不是remarkable 嗎為什么不行
mockB中關(guān)于confidentiality這題為什么只有B是對(duì)的
請(qǐng)問(wèn)老師?？级?5題，不允許賣(mài)，也不允許holding啊，不賣(mài)但是目前是holding狀態(tài)，不違反法律嗎？
精 從deligence角度，分析師推薦自己不懂的產(chǎn)品或者不熟悉的投資策略如做空屬于violate，那么是否同步違反對(duì)客戶(hù)忠誠(chéng)？
這里考慮的是top down，那么bottom up不算勤勉盡責(zé)嗎？
第6點(diǎn)內(nèi)容跟額外報(bào)酬有什么關(guān)聯(lián)？
MOCK 2 的Q28 his uncle's share 怎么是普通賬戶(hù)了呢？ 上面明明說(shuō)因?yàn)樗迨宓馁~戶(hù)所以他也私下持有了utility相關(guān)的股票嗎？ 顯然是有問(wèn)題的呀
程寶問(wèn)答
