袁同學(xué)
2018-04-24 23:08A regulator who requires financial advisers to merely consider the suitability of a product when making recommendations to their clients would most likely be setting: A. both a legal and an ethical standard. B. an ethical standard. C. a legal standard. C is correct. The regulator only sets a legal standard when requiring a financial adviser to merely consider suitability when making recommendations to their clients. Requiring advisers to act as fiduciaries would be setting both a legal and an ethical standard; it would require the interests of the client to be above those of the firm or employee. 對(duì)于注解 我不是很理解
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
Vito Chen助教
2018-04-25 15:50
該回答已被題主采納
同學(xué)，你好。這里說(shuō)的是如果僅考慮對(duì)于投資推薦是否適合于客戶，那么建立法律上的標(biāo)準(zhǔn)文件就可以，比如：IPS。如果和客戶是信托關(guān)系，那么既要有法律文件還要有道德準(zhǔn)則。因?yàn)樾磐嘘P(guān)系需要額外的忠誠(chéng)、謹(jǐn)慎和仔細(xì)。
0
0
0
0
