請問第三題如果只是給current client而不是prospective client的話是不是就可以只提供2-20這種費率結(jié)構(gòu)，不需要提供average/expected expenses了呢？ 謝謝
第二題，我看解答有老師說A是正確的，那為什么不選A？
Diligence and Reasonable Basis
第六題第三個compensation為什么不用披露啊
capsule form and available upon request
record retention
這不是來自客戶的有條件的禮物嗎？而且是將來時，為什么選A？
如果研究報告和自己意見相反，有adequate&reasonable basis，不把自己名字在研報剔除。但是在和客戶溝通時，可以表達(dá)和相反意見嗎？如果不可以是違反loyalty嗎？還違反別的嗎？
我是基金經(jīng)理，我聽到中石油有重大利好的內(nèi)幕消息，然后我去買了包含中石油的ETF 有沒有違規(guī)
第四題，如果TCP沒有residential unit的業(yè)務(wù)，那Lapoint 接受這個工作可以嗎
第二題我選的C因為倒數(shù)第三段第二句話prior to her official termination， 那就是還沒確定要被laid off。。。
密卷第二套9題2小題，風(fēng)格偏離不算是違反reasonable and
老師，您好，以下內(nèi)容為啥沒有離職不算solicite，謝謝/原文：Q. Townsend was recently appointed to the board of directors of a youth golf program that is the local chapter of a national not-for-profit organization. The program is beginning a new fund-raising campaign to expand the number of annual scholarships it provides. Townsend believes many of her clients make annual donations to charity. The next week in her regular newsletter to all clients, she includes a small section discussing the fund-raising campaign and her position on the organization’s board. Townsend did not violate the Code and Standards. Townsend violated the Code and Standards by soliciting donations from her clients through the newsletter. Townsend violated the Code and Standards by not getting approval of the organization before soliciting her clients.
方法二和方法三算的standard deviation和上一頁ppt 也要求包括的ex post standard deviation有什么區(qū)別？
請問就verify這個角度，amc與gips的差異和各自的要求應(yīng)該如何記憶比較好
程寶問答
金程問答