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kittyQ2019-05-05 21:41:02

Freddie, a salesperson, established an IPS for a client when he persuaded the client to direct his transactions to their firms. Freddie is in charge of executing orders with some recommendations on choices made by the client. One day, the client made an order to purchase some stocks that are not suitable for him. Freddie responded by stating that the client take a second thought of his order. Instead, the client insisted his original decision. At last, Freddie agreed to execute the order. Did Freddie comply with the Standards? 老师,客户的想法和ips不符是不是就证明对ips有影响,所以就要update ips?

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Chris Lan2019-05-07 00:04:03

同学你好,只要想做的事情跟IPS规定好的是有冲突的,那就是不符合,如果客户想要投资一些不符合IPS的东西,也不是不行,必须先修改IPS,书面确认,如果没改IPS或客户没书面确认,从业人员就按客户的想法操作了(妥协了),就是违规的。

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