potential clientslist能帶走么？rejected ideal list呢？兩者什么區(qū)別
在職期間，雇主同意也不可以開展independence practice么
same commission same price是什么意思？和fifo不是沖突么？
老師，family memeber account專指不屬于個人賬戶的家庭賬戶么
老師，三種清單各指什么？有什么交易限制要求，麻煩幫我們歸納總結(jié)下
Q1:disclose to his employer the financial compensation proposed by the subsidiary.只是披露給雇主，但并未說獲得雇主書面同意，如何理解？
第一題，Commissions for Vanderon average $35 per transaction.每筆交易35美元，文章中沒寫每周只交易一筆，為何35*52？另外新的每個季度最近1000美元，每年不應該是4000美元嗎？沒看懂第一題解析
請問老師，假設我是分析師正在寫某司研報，我對某司做了全面的分析和研究，那么我在寫研報的時候，就把我認為對結(jié)果有重大影響的內(nèi)容花了大量的篇幅做詳細分析，對于那些對結(jié)論影響不大的內(nèi)容，只簡單進行了分析
哪里能看出是個人交易
第4題，請問答案這句話怎么理解呢The GIPS? composite should depict the results of an ongoing and consistent management process. While all the funds in the composite were briefly “non-discretionary” during this market disruption, this was an industry-wide event. The performance and dispersion impact on this fund was singularly significant and stemmed from a unique confluence of external circumstances not representative of the management style. It is large enough to compromise the integrity of the composite and be materially misleading to clients and prospects.
第2題，請問Reason 3為什么是對的，這個字眼看起來就很可疑“will eliminate the difficulties”。 Allowing the DFI funds to purchase shares in the POOL fund will eliminate the difficulties the investment team has had in achieving proper allocations and diversification in the DFI funds.
第二題，我的理解tax speculation 是因為參加了seminar得來的信息，research report應該表明source, 不是嗎？ Booth attends a research seminar covering several topics regarding all of the utilities in Country A’s economy. Two topics of interest to Booth address regional utilities, which typically pay large dividends, and the impact that a proposed tax rate change might have on the future payment of dividends
第一題，為什么不選C。上課的時候老師說避免讓sales, investment, operation來擔任compliance officer。
第四題，Confidential information must be material and nonpublic 這個描述錯在哪里
第二題：Active Growth Fund has consistently outperformed its mid-to-small-cap benchmark index，中小盤風格的基金，后來投了large cap這明顯和benchmark不一致了，這里可能出現(xiàn)了style drift, 為什么沒有違反reasonable and adequate?
程寶問答
金程問答