金程問(wèn)答
請(qǐng)問(wèn)第七題怎么看出來(lái)的要至少保證每年review一次？
第五題里面we believe....也算是個(gè)人觀點(diǎn)所以可以使用will嗎？
請(qǐng)問(wèn)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(fèi)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(shuō)A是正確的，那為什么不選A？
Diligence and Reasonable Basis
第六題第三個(gè)compensation為什么不用披露啊
capsule form and available upon request
record retention
這不是來(lái)自客戶的有條件的禮物嗎？而且是將來(lái)時(shí)，為什么選A？
如果研究報(bào)告和自己意見(jiàn)相反，有adequate&reasonable basis，不把自己名字在研報(bào)剔除。但是在和客戶溝通時(shí)，可以表達(dá)和相反意見(jiàn)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(tīng)到中石油有重大利好的內(nèi)幕消息，然后我去買(mǎi)了包含中石油的ETF 有沒(méi)有違規(guī)
第四題，如果TCP沒(méi)有residential unit的業(yè)務(wù)，那Lapoint 接受這個(gè)工作可以嗎
第二題我選的C因?yàn)榈箶?shù)第三段第二句話prior to her official termination， 那就是還沒(méi)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(méi)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.
程寶問(wèn)答
