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Schweser Notes Study Session 1 Readings 1&2 Question 21
21. Which of the following is most likely a violation of Standard III(B) Fair Dealing?
A. A firm makes investment recommendations and also manages a mutual
fund. The firm routinely begins trading for the fund’s account ten minutes
before announcing recommendation changes to client accounts.
B. After releasing a general recommendation to all clients, an analyst calls the
firm’s largest institutional clients to discuss the recommendation in more
detail.
C. A portfolio manager allocates IPO shares to all client accounts, including
her brother’s fee-based retirement account.
Right Answer is B.
It isn’t A, because this is a violation against Priority of Transactions? I think so. What’s your opinion??? |
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发表于 2013-4-7 05:13
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