劉同學(xué)
2019-10-06 20:24Kate works for a local asset management firm. A broker is offering a new trading service to Kate, who originally provided Kate with proprietary research through client brokerage arrangements. Low-fee and execution-only trades are offered to complement its traditional full-service, execution-and-research trades. Moreover, the broker will apply the commissions paid on the new service toward satisfying the brokerage commitment of the prior full-service arrangements to entice Kate and other asset managers to send additional business its way. Kate has always been satisfied with the execution provided on the full-service trades, and the new low-fee trades are comparable to the fees of other brokers currently used for the accounts that prohibit soft dollar arrangements. Which of the following is correct regarding to Kate’s action? 這道題看不懂完全，麻煩詳細(xì)解析下意思
所屬：CFA Level I 視頻位置 相關(guān)試題
來(lái)源： 視頻位置 相關(guān)試題
1個(gè)回答
Bingo助教
2019-10-08 10:52
該回答已被題主采納
一個(gè)券商為Kate提供新的服務(wù)——費(fèi)用更低，但只執(zhí)行交易。這與之前傳統(tǒng)的服務(wù)不同，之前的服務(wù)-更全面，不僅幫客戶交易，還提供研究報(bào)告。
券商為了吸引Kate的客戶，將從新服務(wù)當(dāng)中收取的一部分傭金用于提高傳統(tǒng)服務(wù)上。
Kate一直都對(duì)該券商的服務(wù)很滿意，而且這個(gè)券商提供的新型服務(wù)的費(fèi)用低于市場(chǎng)沒(méi)有使用“軟美元”交易的產(chǎn)品。
這題考察的是Standard III(A)-Loyalty，prudence and care。該準(zhǔn)則要求members and candidates為客戶爭(zhēng)取最大利益?，F(xiàn)在這個(gè)券商提供的服務(wù)又好又便宜，所以Kate可以為自己那些不使用“軟美元”服務(wù)的客戶安排該券商提供的新型服務(wù)（費(fèi)用低，只幫客戶交易）。
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