meimei2020-09-07 20:39:23
meimeicase 3 的第四题与case6的第六题，performance review和IPS review文中的描述我分不太清楚。一个是必须季度更新，一个是至少年度。但在文中描述我怎么才能区分说的是上面2者哪个呢？
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Chris Lan2020-09-08 09:21:58
Chris Lan同学你好
CASE3的第4题，里面提到有一个客户
Recently, he made an exception to this rule when he learned that one of his smaller, less active clients had unexpectedly inherited $600,000 from an aunt’s estate. Litman met with the client and performed a comprehensive review of the client’s financial situation even though only three months had passed since their last meeting.
说的是他的个人财务情况，所以这种review是跟IPS相关的，而IPS是每年更新一次。从个人财务改变的review，我们可以看出这里review的是IPS
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CASE6的第6题说的是investment statement，这是题干说的，不是IPS，这个是投资相关的一些操作，相关的条款如下，协会推荐至少每季度更新。
Regular Account Information
Members and candidates with control of client assets (1) should submit to each client, at least quarterly, an itemized statement showing the funds and securities in the custody or possession of the member or candidate plus all debits, credits, and transactions that occurred during the period, (2) should disclose to the client where the assets are to be maintained, as well as where or when they are moved, and (3) should separate the client’s assets from any other party’s assets, including the member’s or candidate’s own assets.
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