Treating clients fairly also means that members and candidates should
not take advantage of their position in the industry to the detriment of clients.
For instance, in the context of IPOs, members and candidates must make
bona fide public distributions of “hot issue” securities (defined as securities
of a public offering that are trading at a premium in the secondary market
whenever such trading commences because of the great demand for the
securities). Members and candidates are prohibited from withholding such
securities for their own benefit and must not use such securities as a reward
or incentive to gain benefit.
看得似懂非懂其实就是不懂吧...高手进来帮解释下吧 | 
发表于 2011-4-27 10:13
|