Cold2022-08-25 22:42:01
Cold老师，请问这段话Basher的做法是否违背CFA协会的要求呢？Basher选择一些经纪商列入起Approved list，免费获取他们的数据和信息，作为回报，推荐客户在这些Approved list的经纪商中进行交易。乍一看，好像符合商业合作互利？但是Bshaer是不是违背了客户忠诚呢？因为如果要遵守客户忠诚的话，要为客户选择best execution，对吗？
回答（1）
Vincent2022-08-25 23:33:11
Vincent你好
她是鼓励客户这么作，且已经充分披露推荐的理由，并没有跳过客户直接为客户操作。因为不属于违规。
Whenever Serengeti’s analysts prepare a research report using information sourced from an approved broker/dealer, Bashar encourages the firm’s clients to trade through that broker/dealer. Bashar believes this referral arrangement, which she discloses to clients and prospective clients, provides additional incentive for broker/dealers to share insights and information with her analysts at no cost.
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