4. An investment manager’s broker provide many good service for the company, and he also audit
this investment manager’s newly invest activities in the burgeoning industry market. This broker
provides many opportunities for the manager to go to some new industry market to research, of
which the data are hardly for the manager to get into. The broker takes care of the entire fees
for research, and they disclose this situation. So which is this situation most likely to violate?
A. No.
B. Yes, violate the knowledge of the law
C. Yes, violate misconduct
答案为A，答案没有看明白。能否请老师给我讲一下？谢谢！作者: apf薛老师 时间: 2013-9-12 17:36
这是Soft dollar的典型，我们只要disclose and seek best exeuction就可以了。
