下面这个问题怎么理解？通过一系列操作将一个新客户的重仓股转移平均分配到不同客户的帐户这种行为不违反准则？
An analyst meets with a new client. During the meeting, the analyst sees that the new client’s portfolio is heavily invested in one over-the-counter stock. The analyst has been following the stock and thinks it will perform well in the long run. The analyst arranges through a brokerage firm to simultaneously sell a large number of shares of the stock via a series of cross trades from the new client’s portfolio to various existing clients. He arranges the trades to be executed at a price that approximates the current market price. This action is:
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A) |
a violation of Standard III(A), Loyalty, Prudence, and Care. | |
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B) |
not in violation of the Standards. | |
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C) |
a violation of Standard III(B), Fair Dealing. | | | 
发表于 2010-7-2 00:28
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