West is a CFA and trust of officer for REC Trust Company. Soon after beginning work for REO, West finds that ROE has been conducting all its securities transactions through her brother who is a registered representative. West’s bother charges the REO commissions that are equal to the lowest available from any other broker. West’s brother tells her that if she continues doing business with him, he will give her substantial discount on all personal transactions she conducts through him. A. West does not need to inform her employer of the arrangement because the commission her brother charges the firm is the lowest possible. B. West must inform her employer of the arrangement because she is doing business with a member of her immediate family C. West does not need to inform her employer of the arrangement because REO had been doing business with her brother before she was hired D. West must reject the arrangement because it provides her with additional compensation D是否有问题？为何不是报告上级而是拒绝？ 谢谢 | 
发表于 2005-4-25 10:48
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