同同學(xué)
2025-05-26 00:24請(qǐng)問Q2,C選項(xiàng)為什么不對(duì)
所屬:CFA Level III > Ethical and Professional Standards 視頻位置 相關(guān)試題
來源: 視頻位置 相關(guān)試題
1個(gè)回答
Simon助教
2025-05-27 16:07
該回答已被題主采納
同學(xué),上午好。
題目中說,This access is available on the condition that clients not forward any of the research and recommendations to any other parties. 所以,PIA不得將任何研究報(bào)告和建議轉(zhuǎn)發(fā)給其他任何第三方。
然后,after concluding that FTI provides best execution, Danko directs to FTI most of his trade orders,已經(jīng)確認(rèn)了FTI能提供best execution,所以沒有違規(guī)。但C說需要提供報(bào)告,擇與題目背景矛盾。
