标题: ethics i vaguely remember [打印本页] 作者: bkballa 时间: 2013-4-12 23:08 标题: ethics i vaguely remember
i guess soft dollars was more level 2, but i have seen questions on it in level 3.
anyway, i seem to remember a question where the manager used the client’s commish to get access to great research on tax-free investing. it didn’t benefit the account whose commish was used. it benefitted other accounts.
i think they said that was ok. doesn’t have to be one-to-one of the soft dollar benefitting the client.
surprised me………….. although it wasn’t benefitting the manager. so that wasn’t an issue. at least they seemed to make that clear.作者: NakedPuts00 时间: 2013-4-12 23:08
It’s OK as long as the client will eventually benefit from other research.作者: spartan1 时间: 2013-4-12 23:09
