NO.PZ201604030300004401
问题如下：
1. When recommending Vanderon convert to a PlusAccount, does Klein violate any CFA Institute Standards of Professional Conduct?
选项：
A.No.
B.Yes, because he does not have a reasonable basis.
C.Yes, because the account is unsuitable for Vanderon.
解释：
A is correct.
Klein does not violate the CFA Standards of Professional Conduct when recommending a PlusAccount to Vanderon. His actions comply with Standard III(A) — Loyalty, Prudence, and Care; Standard III(C) —Suitability; and Standard V(A) — Diligence and Reasonable Basis. As required, Klein discloses the fee structure associated with the PlusAccount. Based on the fee structure and Vanderon’s trading activity, the PlusAccount appears to be a suitable investment vehicle. By converting to PlusAccount status, Vanderon will incur an annual fee of $1,000 and eliminate approximately $1,800 in annual brokerage commissions. The potential savings of approximately $800 provides a reasonable basis for recommending PlusAccount status.
1.Minimum annual fee of $1,000 billed quarterly,是年费1000，每季度支付250吗？
2.答案中的1800如何计算的?
