问题 单项选择题

Danny Walter, CFA, manages accounts for high net worth clients including his own family’s account. He has no beneficial ownership in his family’s account. Because Walter is concerned about the appearance of improper behavior in managing his family’s account, when his firm purchases a block of securities, Walter allocates to his family’s account only those shares that remain after allocation to his other client accounts. The fee for managing his family’s account is based on his firm’s normal fee structure. According to the Standards of Practice Handbook, Walter’s best course of action with regard to management of his family’s account would be to:()

A. continue to manage his family’s account but treat it like his other client accounts.

B. discontinue management of his family’s account and arrange for the account to be transferred to another firm.

C. discontinue management of his family’s account and arrange for the account to be transferred to another investment manager in his firm.

答案

参考答案:A

解析:

[分析]: 对于作为客户家庭成员的账户,会员应当视同其他公司账户,不得基于家庭成员关系给予不公正对待。在本题中,由于Walter对其家庭成员的账户加以区别对待,因而他没有履行基于客户关系而对其家庭成员承担的服务义务。也就是说,在分配股票时,Walter应当对其所有客户(包括其家庭成员)一视同仁。 [考点] 利益冲突

单项选择题 A1/A2型题
单项选择题