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- 443
- 主题
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- 注册时间
- 2011-7-11
- 最后登录
- 2013-9-11
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Janine Walker is an individual investment advisor with 200 individual clients. When she first obtains a client, Walker solicits personal data that helps her formulate an investment recommendation, including tax status, income, expenditure needs, and risk tolerance. The Standards: A)
| require updating a client's data only when a material change occurs to the personal data. |
| B)
| only require to update a client's data when a material change is being made to the clients' portfolio. |
| C)
| require Walker to update the data regularly. |
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According to Standard III(C), Suitability, Members and Candidates must reassess client information and update regularly. |
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