meitianhappy 当前离线
CFA New Member
Disseminate new recommendations should be based on suitability and known interest, not all clients.
A recommendation list can be sent without regard to suitability.
在复习中同时看到这两句话，怎么觉得这两句话有矛盾啊，到底应不应该把所有的recommendations发给客户呢？求解！
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veri 当前离线
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moneymoney 当前离线
我做练习时候曾经看到过一句：There is no need to communicate recommendations to clients for whom the securities are deemed unsuitable.
No need只是没必要把，并没有prohibit，所以我觉得发了应该不算违规。但是如果给代不适合的用户作了投资交易，应该就违规了。
发表于 2010-6-5 10:34
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