金程問(wèn)答
為何強(qiáng)調(diào)before？如果收到再和客戶溝通不可以么
為什么會(huì)只有這個(gè)客戶未滿足？不是所有客戶都沒(méi)有滿足么
potential clientslist能帶走么？rejected ideal list呢？?jī)烧呤裁磪^(qū)別
在職期間，雇主同意也不可以開(kāi)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(gè)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(shuō)獲得雇主書(shū)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(méi)寫每周只交易一筆，為何35*52？另外新的每個(gè)季度最近1000美元，每年不應(yīng)該是4000美元嗎？沒(méi)看懂第一題解析
請(qǐng)問(wèn)老師，假設(shè)我是分析師正在寫某司研報(bào)，我對(duì)某司做了全面的分析和研究，那么我在寫研報(bào)的時(shí)候，就把我認(rèn)為對(duì)結(jié)果有重大影響的內(nèi)容花了大量的篇幅做詳細(xì)分析，對(duì)于那些對(duì)結(jié)論影響不大的內(nèi)容，只簡(jiǎn)單進(jìn)行了分析
哪里能看出是個(gè)人交易
第4題，請(qǐng)問(wèn)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(qǐng)問(wèn)Reason 3為什么是對(duì)的，這個(gè)字眼看起來(lái)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?yàn)閰⒓恿藄eminar得來(lái)的信息，research report應(yīng)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(shí)候老師說(shuō)避免讓sales, investment, operation來(lái)?yè)?dān)任compliance officer。
程寶問(wèn)答
