答案和详解如下： Q6. Concerning Standard III(B), Fair Dealing, which of the following actions is NOT a valid procedure for compliance with the Standard? A) Communicate investment recommendations to all customers including those accounts for which the securities are not eligible for purchase. B) Limit the number of people that are involved and are privy to the fact that an investment recommendation is going to be disseminated. C) Communicate investment recommendations simultaneously within the firm and to customers, where possible. Correct answer is A) To ensure compliance with the Standard, members should seek to communicate investment recommendations to all clients who have indicated an interest and also those for whom the securities are suitable. There is no need to communicate recommendations to clients for whom the securities are deemed unsuitable. The standard does not prohibit a firm from offering various levels of service.
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发表于 2009-1-8 11:25
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