catshadow

不记得 handbook里面怎么写，但是道理上来讲应该不是best price而是best execution.

coz best price is hard to define and varies with time, but best execution include to obtain the best price at a time point or execute according to the client's instruction.

xixi723

发重了

[此贴子已经被作者于2008-12-8 10:48:35编辑过]

xixi723

是啊，难道北京和上海的题还不一样？那个brokage的，有一个是fastest execution ,绝对有这个选项的

xixi723

那个trading　order的我怎么一点印象都没有，倒是记得有一题是关于他爸爸也有一个帐户的，但是他把最后的shares分配给爸爸，我选了违反fair dealing，一点也记不起来有要选顺序的，我该不会有题没做吧，那答题卡是怎么涂的？太恐怖了！这是上午还是下午的题啊？

horry

QUOTE:

以下是引用lipeizhao在2008-12-8 10:19:00的发言：

8) search for a good brokerage for the client in order to get :

A) miminum transaction cost

B) best price

C) lowest commission

D) best execution

The answer is D)  

这个题楼主记错选项顺序了呵呵，北京的卷 B) best execution 所以选B。 BEST EXECUTION？？不会吧 HANDBOOK写BEST PRICE吧？

还有这个题

10) Which one is not a part of the eight major section of GIPS standards?

A) input data

B) alternative xxx

C) private equity

D) fundamental of compliance

The answer is B)

B这个选项内容应该是Fixed Income吧，所以选B。

要不可能卷子不一样？

yingh1983

我怎么觉得大家考的题目都不一样啊.答案的顺序、表述不太一样。

lipeizhao

8) search for a good brokerage for the client in order to get :

A) miminum transaction cost

B) best price

C) lowest commission

D) best execution

The answer is D)

这个题楼主记错选项顺序了呵呵，北京的卷 B) best execution 所以选B。

还有这个题

10) Which one is not a part of the eight major section of GIPS standards?

A) input data

B) alternative xxx

C) private equity

D) fundamental of compliance

The answer is B)

B这个选项内容应该是Fixed Income吧，所以选B。

要不可能卷子不一样？

leafe

为什么好多题目我一点都没印象，难不成我真的考试时在梦游？

蓝天心语

8) search for a good brokerage for the client in order to get :

A) miminum transaction cost

B) best price

C) lowest commission

D) best execution

这个我选的A，想着是要降低成本的，才有SOFT DOLLAR什么的，不知道应该是什么，看看觉得好象其它也对的样子

horry

1)Which one is least likely to be true? The GIPS was created to?

个人选的是 “ …..provides a industry-wide performance presentation standard ….” 之类的选项. 觉得关键字industry-wide 错了, 应该是firm-wide.

这个我没记得有这个A   我好象选过一个MANDATORY VERIFICATION 不晓得和你说的是不是一题 这个好象下午考的

8) search for a good brokerage for the client in order to get :

A) miminum transaction cost

B) best price

C) lowest commission

D) best execution

The answer is D) 这个我选B

12) Some one is working for a firm in some city, where flooding often happens. So he 销毁了 all paper documents and downloaded the records to his working computer. Also he uploads the records to some reliable server 1000 miles away. And the server will keep the records for at least x years.

显然违反了 “preservation of confidentiality”, 另外还有一个考点不记得了. 这个我选不违反 因为他保留了资料在电脑~~

LZ再接再厉啊 继续回忆哈 现在喜欢对答案 我考前也很有把握 考完很多不确定 他考的也太细了点  简直是在背书~~~~~