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- UID
- 223221
- 帖子
- 220
- 主题
- 183
- 注册时间
- 2011-7-11
- 最后登录
- 2013-10-10
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Lets say you are an investment professional and you advise and execute customer orders, and you decide to do it through Broker X because Broker X gives you research that you use to improve your recommendations to clients.
Do you have to disclose this arrangement to the clients?
According to a Shweser Vol. 2 question, the answer is NO - because the routing ultimately benefits the client. That sounds kind of fishy though - shouldn't it be disclosed because it IS possible for something that biases you (as the IP) to also happen to be beneficial to the client... |
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发表于 2011-7-11 19:49
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