CFA论坛 » 【CFA学习难点答疑解惑】 » Ethics - Suitability

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发表于 2013-4-1 13:50 | 只看该作者

Ethics - Suitability

investment, manager, written

Quick Q on Ethics
With regards to Suitability, if the trade is not suitable for the client, does the investment manager need to get written consent from the client? The text (Vol 1 Page 60) just says manager needs to get “affirmative statement” from the client. Is this verbal or written please?

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发表于 2013-4-1 13:51 | 只看该作者

you mean in nondiscretionary accounts?

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发表于 2013-4-1 13:51 | 只看该作者

I mean for any/all accounts.

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