rodrigo's Flashcard

Front

CA invites the client to a meeting. As the client has strategy F in the Investor Profile, the CA recommends to invest CHF 20/m in Nestlé N shares. The client likes the title, but he wants to purchase CHF 50/m, which would make up 15% of the portfolio. Due to the amount of investment, the CA advises against the execution of the transaction. The client insists to execute the transaction. Which PIA flag is correct for each transaction? Options: Advice on CA's Initiative, Not recommended, No advice, Advice on client's request

Back

Not recommended

Front

Which PIA flag needs to be set when a client wants to reinvest in another structured product after discussing features, advantages, and risks?

Back

No Advice

Front

Which PIA flag needs to be set? Client calls: "Thank you for the 'Equity top' recommendation list. Could you please provide me more information on the performance of the Linde share over the past five years?" CA provides the information and the client decides: "Please buy 1000 Linde shares."

Back

No advice