题目:
Jessica Walters, CFA, is a portfolio manager and manages portfolios of a number of high-net-worth retail and institutional clients. Walters receives an allocation of oversubscribed initial public offering of a highly-speculative and risky firm manufacturing pharmaceutical. Walters allocates the stock on a pro rata basis to only those clients who are suitable for the stock according to their investment policy statements. Walters most likely violated the Standards of Professional Conduct()
A. No.
B. Yes, relating to fair dealing.
C. Yes, relating to suitability.
答案:
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参考答案:C解析: 归纳商业银行组合风险知识点:组合风险监测的方法包括传统的银行资产组合监测方法和资产组合模型法。 (1)传统的组合检测法主要是对信贷资产组合授信集中度和结构进行分析检测; (2)...