2009年NOTES上的。
Which of the following is least likely a violation of Standard III (B), Fair Dealing?
A. <一个肯定是错的选项>
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 her brother's fee-based retirement account only if some remain after allocation shares to all otherclient accounts.
B肯定是正确答案，但是C貌似没有明显错误啊：因为她哥的账户可以视为一个普通的客户账户，在有剩余股权的情况下，不能随意给一个其他有意的客户吗？
谢谢！ | 
发表于 2010-9-5 16:14
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